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Compliance Assistant Manager
Location: Guernsey
Schedule: Monday to Friday 36.25 hours per week

Hybrid/On-Site

Vacancy type: Permanent

Intro:

The Compliance team oversees CSC Guernsey's obligations to comply with regulatory and Group requirements.

The Assistant Manager Compliance will assist the Compliance Team in ensuring that the Guernsey business of CSC complies with applicable laws, regulations supervisory requirements, internal policies and procedures through internal controls and actions; with the ultimate objective being to provide assurance to management and protect the Group’s good name and reputation, as well as ensuring that all activities undertaken are in accordance with the various laws and regulations pertaining to the Guernsey regulatory licenses.

As a result, the responsibilities encompassed by the role are wide-ranging and the Assistant Manager will be given consistent opportunities to:

deepen their understanding of the Guernsey regulatory landscape;
be a key contributor to important internal operational processes and projects; and
understand how compliance requirements interact with a complex financial services business.

The Key Responsibilities for the role are noted below and as an Assistant Manager you will also be expected to undertake any such duties that are deemed a reasonable requirement, for example, participating in any relevant projects that are related to the role. In addition, you will be encouraged to participate in business and social events organised for staff.

Some of the things you will be doing:

Lead or assist as appropriate:

Support the Compliance Monitoring Program;
Manage all relevant Compliance registers;
Liaise with the wider business to ensure that ongoing action points and CDD issues are resolved;
Assist with both the substantive and administrative responses to Breaches, Errors, Omissions and Complaints;
Help prepare relevant Compliance analysis for the processes of on-boarding new clients and reassessing existing clients;
Review high risk files/issues and other matters escalated from within the business;
Contribute to the review and drafting of Compliance policies and procedures as needed;
Support all needed record-keeping processes;
Contribute to internal management reporting and external regulatory reporting as needed;
Develop strong working relationships with all Guernsey-based business units and relevant staff, and leverage these to provide advice and guidance on internal procedures and external regulatory matters as appropriate
Be open and willing to contribute to Group projects as needed and collaborate with CSC staff from other offices as appropriate;
Consistently maintain good knowledge of Guernsey regulatory requirements and expectations, with a focus on a detailed understanding of the GFSC Handbook on Countering Financial Crime and Terrorist Financing and how its provisions impact the business;
Be a good example to the rest of the Compliance team and the wider business in terms of always looking to identify ways that policies and procedures can be improved and escalating any concerns, as well as always adhering to the requirements under the CSC Guernsey Corporate Governance Charter and the firm’s Code of Conduct etc.
Ensure that both the CSC internal procedures as well as the Guernsey anti-money laundering and terrorist financing regulations are complied with to the extent required by your role, especially in respect of the reporting of suspicious activity or transactions, client due diligence and record keeping.

What technical skills, experience, and qualifications do you need:

Known to the GFSC from a prescribed position perspective is desirable; and
Have familiarity with fund and company structures, including any regulatory requirements.
Prior relevant experience in regulated finance or professional services is preferable;
Must be able to demonstrate sound organisation skills and supervisory experience;
Possess a solid understanding of the business and regulations applicable;
Qualified by experience or hold a professional qualification such as ICA Diploma, STEP, ICSA or similar;
Strong technical IT skills.

#CSC #BE-CSC #LI-EO1

\n\n

CSC is a global business, legal, and financial services company based in Wilmington, Delaware, USA, providing knowledge-based solutions to clients worldwide. We have offices and capabilities in over 140 jurisdictions in the Americas, Europe, Asia Pacific, and the Middle East, and more than 8,000 colleagues. We are the business behind business.®

Visit our careers site to learn more about CSC and our commitment to our clients, communities, and each other.

CSC is committed to creating a feeling of belonging through a diverse and growth-oriented environment where everyone is valued.

CSC colleagues have global career opportunities and excellent benefits, including annual success-sharing bonuses or commission plans based on individual performance. To learn more, visit cscglobal.com/service/careers.

We offer a range of support to colleagues with disabilities, ensuring people have the necessary resources to thrive in their roles. We encourage candidates to work closely with our talent acquisition partners to convey their specific needs. Our commitment to accessibility reflects our broader dedication to diversity and belonging,

CSC only accepts resumes from employment agencies that are part of our approved supplier program. Resumes submitted from other agencies either to talent acquisition, our hiring leaders, employees, or through any other mechanism other than our supplier process, will not be eligible to claim related fees and the submitted resumes will be considered property of CSC.

We encourage candidates to apply directly to our website and not through third-party sources.

Disclaimer: The information above describes the general nature and level of work performed by employees in this role. It is not intended to describe all duties, responsibilities, and qualifications.

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About FWD Group

FWD Group is a pan-Asian life and health insurance business that serves approximately 30 million customers across 10 markets, including BRI Life in Indonesia. FWD’s customer-led and tech-enabled approach aims to deliver innovative propositions, easy-to-understand products and a simpler insurance experience. Established in 2013, the company operates in some of the fastest-growing insurance markets in the world with a vision of changing the way people feel about insurance. FWD Group is listed on the Main Board of The Stock Exchange of Hong Kong Limited under the stock code 1828.

For more information, please visit www.fwd.com

FWD Vietnam was established in 2016 and is a member of FWD Group. For more information, please visit www.fwd.com.vn

PURPOSE:

Responsible result, report for distribution related investigation tasks
Responsible for accurate, appropriately for distribution compliance reports.

KEY ACCOUNTABILITIES:

Support DC Leader to conduct investigation of customer fraud-related complaints/non-customer fraud-related complaints.
Conduct investigation with agent/employee; and agent’s/employee’s uplines for explanation and statement.
Interview relevant parties for investigation purpose, where necessary.
Liaise with all relevant parties on any findings.
Provide fact summary including finding and recommendation for management review.
Conduct investigation with agent/employee; and agent’s/employee’s uplines for explanation and statement .
Prepare investigation report for stakeholders & management.
Other tasks as assigned.

QUALIFICATIONS / EXPERIENCE

University degree
Minimum 5 years of experience in Audit, paralegal or Investigative work.
Experienced in investigation the insurance misconduct cases committed by agent with support of internal staffs or customers (e.g. misappropriation, manipulate customers insurance documents)

KNOWLEDGE & TECHNICAL SKILLS

Good 4 skills (speak, write, read, listen) in English and Vietnamese.
Good in investigation on agents, employees, third parties; investigation reporting writing skill.
Strong skill of general fraud investigation and able to independent conduct investigation on insurance agent, third party.
Good in Excel, Power point presentation, and MS word skill.

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Clorox is the place that’s committed to growth – for our people and our brands. Guided by our purpose and values, and with people at the center of everything we do, we believe every one of us can make a positive impact on consumers, communities, and teammates. Join our team. #CloroxIsThePlace

Your role at Clorox:

The Assistant Manager, Compliance plays a key role in supporting the execution of Clorox’s global internal audit strategy, with a strong focus on compliance and investigations. This role assists in identifying and mitigating business, financial, technology, and operational risks while helping to strengthen internal controls. The Assistant Manager will contribute to the delivery of a risk-based internal audit plan, including both assurance and advisory engagements, and will support the development of a culture of integrity, compliance, and continuous improvement across the organization.
In this role, the Assistant Manager will also contribute to the development and execution of a continuous fraud monitoring program utilizing data analysis and help enhance the compliance investigation process, ensuring timely, thorough, and effective resolution of issues. This position is ideal for a motivated professional with a strong background in investigations, compliance, and internal controls who is ready to take the next step in their career.

In this role, you will:

Investigation & Risk Management

Assist in managing and conducting internal investigations related to fraud, misconduct, and compliance violations.
Perform forensic analysis and support the development of investigation reports and documentation.
Help monitor and assess risks related to conflicts of interest, management override of controls, and other compliance concerns.
Collaborate with Legal, Compliance, and other stakeholders to ensure thorough and timely resolution of cases.
Support the development of fraud risk assessments and preventive monitoring tools.
Contribute to the design and implementation of a continuous fraud monitoring program, leveraging data-driven insights to proactively identify red flags and emerging risks.
Perform detailed data analytics to support audit and investigation procedures, including trend analysis, anomaly detection, and root cause identification.
Collaborate with IT and compliance teams to understand technology-related risks and their impact on operational processes.
Integrate ITGC considerations into audit planning and execution, leveraging available tools and resources to enhance coverage.
Demonstrate flexibility and comfort working across time zones, as some audit and investigation activities may require collaboration with global stakeholders or responsiveness to time-sensitive matters outside local business hours.

Audit and Compliance Execution

Support the planning and execution of audits and compliance reviews, ensuring alignment with internal audit objectives and company priorities.
Assist in identifying and assessing operational, compliance, and financial risks.
Conduct audit procedures, including data analysis, evidence review, and documentation of findings.
Collaborate with internal stakeholders to identify root causes and recommend practical solutions.
Prepare clear and concise audit reports and presentations for management review.
Ensure work aligns with the Institute of Internal Auditors (IIA) standards and internal methodologies.
Collaborate with cross-functional teams to integrate automated monitoring tools into business processes, enhancing real-time visibility into compliance and control effectiveness.
Assist in evaluating IT general controls such as access management, change control, and system operations as part of broader audit engagements.
Collaborate with IT and compliance teams to understand technology-related risks and their impact on operational processes.

Team Development

Actively contributes to a collaborative team environment by sharing knowledge, best practices, and lessons learned across audit and compliance functions.
Support the onboarding and development of junior team members by providing coaching, guidance, and constructive feedback.
Foster a culture of continuous learning and professional growth through participation in training, mentoring, and peer development initiatives.
Collaborate closely with cross-functional teams, including Legal, Compliance, HR, and IT, to ensure alignment on investigations, risk mitigation, and internal control improvements.
Promote open communication and teamwork across departments to enhance the effectiveness and visibility of audit and compliance efforts.
Encourage innovation and process improvement by engaging team members in brainstorming and problem-solving discussions.

Project Management

Support the timely and efficient execution of compliance and operational audits, special projects, advisory engagements, and cross-functional initiatives.
Assist in tracking and following up on audit recommendations and investigation outcomes.
Support the implementation and enhancement of tools such as AuditBoard to improve audit and investigation processes.
Maintain strong relationships with business partners to stay informed of emerging risks and business changes.

What we look for:

5+ years of experience (at least 3+ years expertise on investigations)
Relevant professional certification (CFE)
Experience handling investigations is a plus.

Skills and Abilities

Knowledge of internal audit principles and practices; with knowledge of the Institute of Internal Auditors (IIA) International Professional Practices Framework (IPPF).
Experience conducting or supporting investigations, including forensic analysis and reporting.
Bilingual (English /Spanish) is required.
Experience conducting or supporting investigations, including forensic analysis and reporting.
Excellent written and verbal communication skills, with the ability to present findings clearly and professionally.
Strong analytical and problem-solving skills with attention to detail.
Ability to manage multiple priorities and work effectively in a cross-functional environment.
Ability to work on cross-functional activities and form solid business relationships across functions
Well organized with ability to prioritize and self-manage workload
Project management experience.

Desirable:

Consumer products industry experience preferred
Prior consulting industry experience preferred
SAP or other ERP system experience preferred
Experience with AuditBoard.
Ability to travel as needed to support various projects and reviews, about 30%
BA or BS Degree (Accounting, Finance, Business or related field).
Certified Fraud Examiner (CFE) or other relevant professional certification (e.g., CIA, CPA)

Workplace type:

Remote - US

We seek out and celebrate diverse backgrounds and experiences. We’re looking for fresh perspectives, a desire to bring your best, and a non-stop drive to keep growing and learning.

At Clorox, we have a Culture of Inclusion. We believe our values-based culture connects to our purpose and helps our people be the best versions of themselves, professionally and personally. This means building a workplace where every person can feel respected, valued, and fully able to participate in our Clorox community. Learn more about our I&D program & initiatives here.

[U.S.]Additional Information:

At Clorox, we champion people to be well and thrive, starting with our own people. To help make this possible, we offer comprehensive, competitive benefits that prioritize all aspects of wellbeing and provide flexibility for our teammates’ unique needs. This includes robust health plans, a market-leading 401(k) program with a company match, flexible time off benefits (including half-day summer Fridays depending on location), inclusive fertility/adoption benefits, and more.

We are committed to fair and equitable pay and are transparent with current and future teammates about our full salary ranges. We use broad salary ranges that reflect the competitive market for similar jobs, provide sufficient opportunity for growth as you gain experience and expand responsibilities, while also allowing for differentiation based on performance. Based on the breadth of our ranges, most new hires will start at Clorox in the first half of the applicable range. Your starting pay will depend on job-related factors, including relevant skills, knowledge, experience and location. The applicable salary range for every role in the U.S. is based on your work location and is aligned to one of three zones according to the cost of labor in your area.

–Zone A: $88,700 - $165,900–Zone B: $81,300 - $152,100–Zone C: $73,900 - $138,300

All ranges are subject to change in the future. Your recruiter can share more about the specific salary range for your location during the hiring process.

This job is also eligible for participation in Clorox’s incentive plans, subject to the terms of the applicable plan documents and policies.

Please apply directly to our job postings and do not submit your resume to any person via text message. Clorox does not conduct text-based interviews and encourages you to be cautious of anyone posing as a Clorox recruiter via unsolicited texts during these uncertain times.

To all recruitment agencies: Clorox (and its brand families) does not accept agency resumes. Please do not forward resumes to Clorox employees, including any members of our leadership team. Clorox is not responsible for any fees related to unsolicited resumes.

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Company Description

At S&W, we help our clients thrive by simplifying the complex, illuminating new paths, and shaping solutions that make a difference. As one of the UK’s top 10 fastest-growing accountancy firms, we have been a trusted partner since 1881—helping businesses and individuals meet challenges and seize opportunities across generations.

Built on expertise and driven by ambition, we provide a comprehensive range of services, including tax and accountancy, advisory and assurance, corporate finance, and restructuring. We are defined by our purpose—to help navigate challenges, unlock potential, and achieve the extraordinary.

Job Description

What will you be doing?

We’re seeking a talented individual to join our Business Outsourcing Services team in Salisbury.

As Assistant Manager, your responsibilities will include among others

Preparation of annual financial statements, including statutory accounts, trust accounts, partnership accounts and sole trader accounts for tax purposes
Manage own portfolio of clients
Manage staff working on own portfolio
Teamwork with other departments

Qualifications

To be successful in this role, you should

ACA/ACCA or equivalent qualification or qualified by experience
Prior experience of computerised accounting packages
Ability to work independently and as part of a wider team
Excellent communication skills
Results orientated to meet and exceed client expectations, with a key focus on delivering high quality work that consistently meets internal and/or external client deadlines
Understanding of new standards

Additional Information

As a colleague here at S&W you will have access to benefits that include

Competitive salary
Private medical insurance
Life assurance
Pension contribution
Hybrid working model (role dependent)
Generous holiday package
Option to purchase additional holiday
Shared parental leave
Fully funded training towards professional qualifications
Cycle to work scheme
Season ticket loan
Eye care support

We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At S&W we have a wide range of highly active employee resource groups and we’re delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workplace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

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JOB DESCRIPTION:

About Us: At Abbott, we help people live more fully at all stages of life. Abbott is about the power of health. For more than 130 years, Abbott has been helping people reach their potential — because better health allows people and communities to achieve more. With a diverse, global network serving customers in more than 160 countries, we create new solutions — across the spectrum of health, around the world, for all stages of life. Whether it’s next-generation diagnostics, life-changing devices, science-based nutrition, or novel reformulations, we are advancing some of the most innovative and revolutionary technologies in healthcare, helping people live their best lives through better health.

Abbott Diabetes Care designs, develops, and manufactures leading-edge blood glucose monitoring technology for use in both home and hospital settings, including our revolutionary Freestyle Libre Flash Glucose Monitoring System.

Trade Compliance Assistant Manager

Abbott Diabetes Care is seeking a Trade Compliance Assistant Manager to join our UK Customs Center of Excellence. This is a strategic and hands-on role where you'll support and lead key customs operations across UK affiliates, ensuring regulatory compliance and driving process improvements. If you're passionate about international trade and ready to make a meaningful impact in healthcare, we want to hear from you. This role is based full time onsite in Abbott Diabetes Care Witney.

Responsibilities

As Trade Compliance Assistant Manager, you will:

Lead Daily Operations: Manage customs activities across UK affiliates, ensuring compliance with HMRC and global trade regulations.
Team Support & Development: Guide and mentor a team of four, fostering a collaborative and high-performing environment.
Import/Export Oversight: Ensure accurate documentation and timely clearance of shipments.
Risk Management: Identify and mitigate trade compliance risks across operations.
Process Improvement: Drive initiatives to streamline customs procedures and enhance efficiency.
Reporting & Insights: Prepare compliance reports and performance metrics for senior leadership.
Stakeholder Engagement: Collaborate with internal teams, suppliers, customs authorities, logistics providers, and brokers.
Training Delivery: Develop and deliver trade compliance training across UK affiliates.
Documentation & Classification: Maintain records in line with policy, support product classification and origin reviews.
Broker Management: Oversee broker performance through SLA and KPI reviews, providing feedback to leadership.
Expert Guidance: Act as a subject matter expert on customs valuation, classification, and procedures.

Education and Experience

Experience in customs or trade compliance, ideally within a multinational or regulated industry.
Strong knowledge of UK Customs regulations and international trade laws.
Leadership experience with the ability to support and develop a team.
Proficiency in customs software and ERP systems (SAP, SAGE, AS400) desired.
Excellent communication, analytical, and organizational skills.
Relevant certifications (e.g., Certified Customs Specialist) are a plus.
A bachelor’s degree in International Trade, Business Administration, or related field is preferred—but equivalent experience is highly valued.

What We Offer:

At Abbott, we’re committed to helping you live your best life—both professionally and personally. In addition to a competitive salary, we offer:

A defined-contribution pension scheme.
Share ownership opportunities.
Private healthcare and life assurance.
A flexible benefits package tailored to your needs.
A dynamic, inclusive work environment with opportunities for career growth.
Access to a variety of wellness initiatives at our Witney site, including onsite allotments, couch-to-5k campaigns, beekeeping, yoga, and more.

Join a global leader in healthcare innovation and be part of a team that’s making a real difference in people’s lives.

Connect with us at www.abbott.com or https://www.ie.abbott/, on LinkedIn at www.linkedin.com/company/abbott-/, on Facebook at www.facebook.com/Abbott and on Twitter @AbbottNews.

Abbott is an equal opportunities employer

#LI-SO

The base pay for this position is

N/A

In specific locations, the pay range may vary from the range posted.

JOB FAMILY:

Supply Chain

DIVISION:

IFO International Finance

LOCATION:

United Kingdom > Witney : Production Facility

ADDITIONAL LOCATIONS:

WORK SHIFT:

Standard

TRAVEL:

Yes, 10 % of the Time

MEDICAL SURVEILLANCE:

Not Applicable

SIGNIFICANT WORK ACTIVITIES:

Not Applicable

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JOB DESCRIPTION:

The Opportunity

Are you ready to lead strategic customs operations in a global healthcare company? Abbott Diabetes Care is seeking a Customs Compliance Assistant Manager to support and lead our UK Customs Center of Excellence. This is a high-impact leadership role where you'll drive regulatory compliance, optimize customs processes, and collaborate across international teams—all while contributing to innovations that improve lives. This role is based full time onsite in Witney.

As Customs Compliance Assistant Manager, you’ll be responsible for:

Leading UK Customs Operations: Oversee daily customs activities across all UK affiliates, ensuring full compliance with HMRC and global trade regulations.
Team Leadership: Manage and mentor a team of four customs professionals, fostering a culture of excellence, accountability, and continuous learning.
Process Optimization: Identify and implement improvements to streamline import/export operations and enhance efficiency.
Risk Management: Proactively assess and mitigate customs and trade compliance risks.
Stakeholder Collaboration: Work closely with internal teams, suppliers, customs authorities, logistics providers, and brokers.
Training & Development: Design and deliver customs compliance training across UK affiliates.
Reporting & Analysis: Provide senior leadership with insights through detailed reports on compliance, performance, and operational metrics.
Special Procedures & Classification: Support product classification, origin reviews, and special customs procedures.
Broker Oversight: Ensure broker performance through SLA and KPI reviews, and provide strategic feedback to leadership.
Subject Matter Expertise: Serve as the go-to expert on customs valuation, classification, and procedures in a dynamic, fast-paced environment.

Qualifications and Experience

Proven experience in customs operations and compliance, ideally within a multinational or regulated industry.
Strong knowledge of UK Customs regulations and international trade laws.
Leadership experience with a track record of developing high-performing teams.
Proficiency in customs software and ERP systems (SAP, SAGE, AS400) desired.
Excellent communication, analytical, and organizational skills.
Relevant certifications (e.g., Certified Customs Specialist) are a plus.
A bachelor’s degree in International Trade, Business Administration, or related field is preferred—but equivalent experience is valued.

What We Offer:

At Abbott, we’re committed to helping you live your best life—both professionally and personally. In addition to a competitive salary, we offer:

A defined-contribution pension scheme.
Share ownership opportunities.
Private healthcare and life assurance.
A flexible benefits package tailored to your needs.
A dynamic, inclusive work environment with opportunities for career growth.
Access to a variety of wellness initiatives at our Witney site, including onsite allotments, couch-to-5k campaigns, beekeeping, yoga, and more.

Join a global leader in healthcare innovation and be part of a team that’s making a real difference in people’s lives.

Connect with us at www.abbott.com or https://www.ie.abbott/, on LinkedIn at www.linkedin.com/company/abbott-/, on Facebook at www.facebook.com/Abbott and on Twitter @AbbottNews.

Abbott is an equal opportunities employer

#LI-SO

The base pay for this position is

N/A

In specific locations, the pay range may vary from the range posted.

JOB FAMILY:

Supply Chain

DIVISION:

IFO International Finance

LOCATION:

United Kingdom > Witney : Production Facility

ADDITIONAL LOCATIONS:

WORK SHIFT:

Standard

TRAVEL:

Yes, 10 % of the Time

MEDICAL SURVEILLANCE:

Not Applicable

SIGNIFICANT WORK ACTIVITIES:

Not Applicable

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Company Description

Job Description

What will you be doing?

We’re seeking a talented individual to join our Business Outsourcing Services team in Salisbury.

As Assistant Manager, your responsibilities will include among others

Preparation of annual financial statements, including statutory accounts, trust accounts, partnership accounts and sole trader accounts for tax purposes
Manage own portfolio of clients
Manage staff working on own portfolio
Teamwork with other departments

Qualifications

To be successful in this role, you should

ACA/ACCA or equivalent qualification or qualified by experience
Prior experience of computerised accounting packages
Ability to work independently and as part of a wider team
Excellent communication skills
Results orientated to meet and exceed client expectations, with a key focus on delivering high quality work that consistently meets internal and/or external client deadlines
Understanding of new standards

Additional Information

As a colleague here at S&W you will have access to benefits that include

Competitive salary
Private medical insurance
Life assurance
Pension contribution
Hybrid working model (role dependent)
Generous holiday package
Option to purchase additional holiday
Shared parental leave
Fully funded training towards professional qualifications
Cycle to work scheme
Season ticket loan
Eye care support

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

","hiringOrganization":{"@type":"Organization","name":"S&W","sameAs":"https://www.swgroup.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Salisbury, ENGLAND, United Kingdom","addressCountry":"United Kingdom","addressRegion":"Europe"}}}},{"@type":"ListItem","position":8,"item":{"@type":"JobPosting","title":"Assistant Manager, Operational Compliance Services","datePosted":"2025-07-18","description":"

Company Description

ABOUT IQ-EQ 

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms. 

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. 

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities. 

Job Description

This Role

A technical expert position responsible for providing specialized knowledge in AML/KYC and FATCA services without supervisory duties. This role serves as the primary subject matter expert for regulatory requirements, compliance procedures, and technical standards while delivering training and guidance on complex matters.

This requires flexibility to work in night shifts.

WHAT YOU WILL DO 

Core Responsibilities:

Provide technical leadership
Drive compliance standards
Develop technical procedures
Monitor regulatory changes
Guide implementation of best practices
Champion quality control processes
Serve as technical SME

Tasks:

Review critical compliance matters
Provide technical guidance
Develop training materials
Monitor regulatory updates
Create technical procedures
Resolve complex queries
Review complex structures
Guide regulatory implementations
Perform quality assessments
Develop technical documentation
Address escalated technical issues
Support audit processes
Train team on technical matters
Perform other related duties as assigned for role and business needs

WHAT WE OFFER 

Competitive compensation and benefits – including allowances, government-mandated benefits, 13th month pay, and performance-based bonuses
\n
\nHealth and wellness support – HMO coverage from Day 1 (with dependents), life and accident insurance, mental health support, and medical allowances
\n
\nLeave benefits – generous paid time off, special leave types, and observance of all Philippine holidays
\n
\nHybrid work setup and tools – company-issued laptop, work-from-home kit, and flexibility after initial onboarding
\n
\nLearning and growth opportunities – access to training, annual salary reviews, internal mobility, and performance rewards

Qualifications

ABOUT YOU 

Educational Background:

Bachelor’s degree in Finance, Accounting, Business Administration, or a related field

Professional Experience:

4+ years of AML/KYC or regulatory compliance experience, with expertise in technical leadership

Skills and Key Behaviours:

In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

Specialized knowledge of AML/KYC and FATCA frameworks
Proven ability to create and implement compliance procedures
Advanced skills in quality control and process improvement
Excellent training and presentation abilities
Analytical and strategic thinking skills
Innovative and proactive in addressing complex regulatory matters
Collaborative and supportive towards team and organizational goals

Additional Information

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.  

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee. 

","hiringOrganization":{"@type":"Organization","name":"IQ-EQ","sameAs":"https://iqeq.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Pasig City, Philippines","addressCountry":"Philippines","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":9,"item":{"@type":"JobPosting","title":"Assistant Manager, Operational Compliance Services","datePosted":"2025-07-20","description":"

Company Description

ABOUT IQ-EQ 

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. 

We’re driven by our Group purpose, to power people and possibilities. 

Job Description

This Role

This requires flexibility to work in night shifts.

WHAT YOU WILL DO 

Core Responsibilities:

Provide technical leadership
Drive compliance standards
Develop technical procedures
Monitor regulatory changes
Guide implementation of best practices
Champion quality control processes
Serve as technical SME

Tasks:

Review critical compliance matters
Provide technical guidance
Develop training materials
Monitor regulatory updates
Create technical procedures
Resolve complex queries
Review complex structures
Guide regulatory implementations
Perform quality assessments
Develop technical documentation
Address escalated technical issues
Support audit processes
Train team on technical matters
Perform other related duties as assigned for role and business needs

WHAT WE OFFER 

Qualifications

ABOUT YOU 

Educational Background:

Bachelor’s degree in Finance, Accounting, Business Administration, or a related field

Professional Experience:

4+ years of AML/KYC or regulatory compliance experience, with expertise in technical leadership

Skills and Key Behaviours:

In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

Specialized knowledge of AML/KYC and FATCA frameworks
Proven ability to create and implement compliance procedures
Advanced skills in quality control and process improvement
Excellent training and presentation abilities
Analytical and strategic thinking skills
Innovative and proactive in addressing complex regulatory matters
Collaborative and supportive towards team and organizational goals

Additional Information

","hiringOrganization":{"@type":"Organization","name":"IQ-EQ","sameAs":"https://iqeq.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Pasig City, Philippines","addressCountry":"Philippines","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":10,"item":{"@type":"JobPosting","title":"Assistant Manager, Operational Compliance Services","datePosted":"2025-08-12","description":"

Company Description

ABOUT IQ-EQ 

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. 

We’re driven by our Group purpose, to power people and possibilities. 

Job Description

This Role

WHAT YOU WILL DO 

Core Responsibilities:

Provide technical leadership
Drive compliance standards
Develop technical procedures
Monitor regulatory changes
Guide implementation of best practices
Champion quality control processes
Serve as technical SME

Tasks:

Review critical compliance matters
Provide technical guidance
Develop training materials
Monitor regulatory updates
Create technical procedures
Resolve complex queries
Review complex structures
Guide regulatory implementations
Perform quality assessments
Develop technical documentation
Address escalated technical issues
Support audit processes
Train team on technical matters
Perform other related duties as assigned for role and business needs

WHAT WE OFFER 

Qualifications

ABOUT YOU 

Educational Background:

Bachelor’s degree in Finance, Accounting, Business Administration, or a related field

Professional Experience:

4+ years of AML/KYC or regulatory compliance experience, with expertise in technical leadership

Skills and Key Behaviours:

In addition to upholding our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

Specialized knowledge of AML/KYC and FATCA frameworks
Proven ability to create and implement compliance procedures
Advanced skills in quality control and process improvement
Excellent training and presentation abilities
Analytical and strategic thinking skills
Innovative and proactive in addressing complex regulatory matters
Collaborative and supportive towards team and organizational goals

Additional Information

","hiringOrganization":{"@type":"Organization","name":"IQ-EQ","sameAs":"https://iqeq.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Pasig City, Philippines","addressCountry":"Philippines","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":11,"item":{"@type":"JobPosting","title":"Assistant Manager, Retirement Services (Compliance Testing)","datePosted":"2025-07-15","description":"Assistant Manager, Retirement Services (Compliance Testing)-INS028595

\n\n

Ready to shape the future of work?
At Genpact, we don’t just adapt to change—we drive it. AI and digital innovation are redefining industries, and we’re leading the charge. Genpact’s AI Gigafactory, our industry-first accelerator, is an example of how we’re scaling advanced technology solutions to help global enterprises work smarter, grow faster, and transform at scale. From large-scale models to agentic AI, our breakthrough solutions tackle companies’ most complex challenges.

If you thrive in a fast-moving, tech-driven environment, love solving real-world problems, and want to be part of a team that’s shaping the future, this is your moment.

Genpact (NYSE: G) is an advanced technology services and solutions company that delivers lasting value for leading enterprises globally. Through our deep business knowledge, operational excellence, and cutting-edge solutions – we help companies across industries get ahead and stay ahead. Powered by curiosity, courage, and innovation, our teams implement data, technology, and AI to create tomorrow, today. Get to know us at genpact.com and on LinkedIn, X, YouTube, and Facebook.

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Inviting applications for the role of Assistant Manager, Retirement Services (Compliance Testing)

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In this role you must also be willing to work in flexible and varying shifts through the year. As a part of the team, you must react proactively, positively, patiently and effectively for seeking clarifications, have a customer centric approach in problem solving.

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Responsibilities

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A compliance specialist is responsible to handle High Complex Testing, research and reporting as aligned.
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Compliance Plan Queue monitoring might be an added responsibility ensuring all activities are completed within TAT.
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Additional quality checks ensure end to end Plan Testing is completed with 100% quality in first instance.
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Coordinate with other Operations group to ensure follow-up testing activities in OMNI / Relius are completed within deadline.
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There may also be a need to coordinate with internal departments on application or hardware issues related to daily functions.
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Support meeting Service Level Agreements for TAT, utilization, productivity & quality.
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Maintain and analyze process queue status and reports as assigned.
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Participate and transfer information to all associates on a timely basis via regular team meetings. per responsibility assigned.
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Handle query resolution for new hires in the group as assigned.
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Build strong understanding of Compliance process and core recordkeeping systems and understand how they work and connect.
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Analyze existing systems and processes to identify gaps and opportunities for cost/ quality/ process improvements.
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Provide guidance and advisory support on regulatory compliance to internal teams
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Establish, monitor and maintain compliance for the services, including plan compliance based on the Applicable Compliance Requirements
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Be a SME in the assigned group or process.
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Qualifications we seek in you!

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Minimum Qualifications / Skills

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Relevan Industry experience primarily in US Retirement Compliance Domain.
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Hands on experience of research in Relius suite of products.
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Strong understanding of concepts and terminology of financial services industry, especially in Retirement (DC).
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Prior Compliance Testing knowledge and transition experience is essential.
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Hands-on experience in handling Queue management.
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Well versed with MS Office applications (Word, Excel & PowerPoint, Teams, etc.).
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A ‘can-do’ attitude and the ability to work in a team environment and adapt to change is essential Willingness to work in shifts.

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Preferred Qualifications/ Skills

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MS Excel Skills – Intermediate
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MS Word- Intermediate
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Shift Type

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Evening Shift

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Shift Timings

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3:30 PM – 1:30 AM (IST)

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Fixed Shifts

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Yes

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Weekends Off

\n\n\n\n\n\n\n

Yes

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OJT

\n\n\n\n\n\n\n

N/A

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Location

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Remote

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Why join Genpact?
• Be a transformation leader – Work at the cutting edge of AI, automation, and digital innovation
• Make an impact – Drive change for global enterprises and solve business challenges that matter
• Accelerate your career — Get hands-on experience, mentorship, and continuous learning opportunities
• Work with the best – Join 140,000+ bold thinkers and problem-solvers who push boundaries every day
• Thrive in a values-driven culture – Our courage, curiosity, and incisiveness - built on a foundation of integrity and inclusion - allow your ideas to fuel progress
Come join the tech shapers and growth makers at Genpact and take your career in the only direction that matters: Up.
Let’s build tomorrow together.

Genpact is an Equal Opportunity Employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability or any other characteristic protected by applicable laws. Genpact is committed to creating a dynamic work environment that values respect and integrity, customer focus, and innovation.

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Furthermore, please do note that Genpact does not charge fees to process job applications and applicants are not required to pay to participate in our hiring process in any other way. Examples of such scams include purchasing a 'starter kit,' paying to apply, or purchasing equipment or training.

Job

Assistant Manager

Primary Location

India-Gurugram

Schedule

Full-time

Education Level

Bachelor's / Graduation / Equivalent

Job Posting

Jul 15, 2025, 10:34:04 AM

Unposting Date

OngoingMaster Skills List OperationsJob Category Full Time","hiringOrganization":{"@type":"Organization","name":"Genpact","sameAs":"https://www.genpact.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"India-Gurugram","addressCountry":"India","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":12,"item":{"@type":"JobPosting","title":"Private Client Tax Compliance Assistant Manager","datePosted":"2025-08-07","description":"

About the role...

This isn’t just another tax job.

We’re Cooper Parry - the UK’s largest accountancy B Corp - and we’re flipping the script on what it means to work in tax. Our Private Client team is evolving into a national powerhouse, and we’re on the hunt for an Assistant Manager to bring fresh thinking, and serious client skills to one of our offices. This role isn’t about churning out tax returns. It’s about adding value, embracing automation, and helping shape the future of tax compliance.

Why this role exists

Following some exits/retirements and us coming together as a National team following various acquisitions, we’re injecting new energy into Manchester.

About you...

What you’ll be doing

Managing a portfolio of personal tax clients, with some partnership and trust work thrown in.
Including preparing CGT calculations, handling client queries and keeping clients up to date with recent tax changes.
Supporting the rollout of automation tools (yes, we’ve got a bot named Petar).
Adding value to the team by challenging and driving change.
Collaborating with a national team to deliver a seamless, tech-enabled compliance process.

What we’re looking for

A qualified (including ATT, CTA) or experienced tax pro with private client compliance knowledge.
Someone who’s client-obsessed - you know how to build trust and add value beyond the return.
A change-maker who’s excited by automation, innovation, and doing things differently.
A cultural fit - ambitious, collaborative, and not afraid to challenge the status quo.

About us...

We work with privately owned, not for profit and multi-national businesses across the UK to help them become more aware of their financial position, become more financially efficient, help them grow and much more. But we’re no ordinary firm of accountants and business advisers.

We’re straight-talking and put people and relationships before products and services. This is what’s made us the fastest growing firm of accountants in the UK... and our vision is to continue.

Over the last couple years alone, we have achieved some fantastic feats:

Partnered with Waterland Private Equity since July 2022, and are now on a lightning-fast growth journey
Ranked No.1 in the Accountancy Age Mid-Tier Power Index
Placed Top 3 in the mid-size category at the Inspiring Workplace Awards and 13th overall at the Inspiring Workplace Awards, against all businesses of all sizes across Europe, Middle East & Africa
B Corp certified! Measuring and improving our impact beyond business for a brighter tomorrow
Best Companies No.1 Accountancy Firm to work for in the UK & No.30 Best Large Company to work for 2023

What's in it for you...

We have always believed in trusting our people to make the right decisions for themselves. From how you dress, to where you work and how often you take holiday. We give our people the opportunity to work flexibly, as well as the trust and accountability to deliver.

We put our people at the heart of our culture. If our people love working here then they do amazing work, that’s why we offer things like:

A streamlined, client-focused service free from unnecessary red tape
Supported development with tailored training to help you learn and progress
A truly flexible approach to hybrid working
Empowered and entrusted to do what you do best
An amazing wellbeing offering to support your physical, mental, spiritual, and financial health
Volunteering opportunities to work closer with local communities and charities
Alongside an array of benefits and perks all nicely packaged on our CP Pay & Perks platform

We know everyone performs their best when they feel welcomed and supported to bring their whole selves to work. As an equal opportunities’ employer, we will work with you to ensure you have all you need to achieve your best.

Get in touch if you have any questions about our commitment to Diversity & Inclusion or about accessibility/accommodations during your application process.

A note for recruitment agencies…

Agencies, we love you… but unsolicited CV’s will not be honoured. We will only accept CV submissions for roles briefed to you by our Talent Acquisition team.

If you would be interested in working with us – please send a message to the Talent Acquisition team, should we have anything we need additional support on we will reach out to you.

#LI-MH1

","hiringOrganization":{"@type":"Organization","name":"Cooper Parry","sameAs":"https://www.cooperparry.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"West Midlands-Birmingham, UK","addressCountry":"United Kingdom","addressRegion":"Europe"}}}},{"@type":"ListItem","position":13,"item":{"@type":"JobPosting","title":"(Assistant) Manager – Financial Crime & Regulatory Compliance","datePosted":"2025-08-21","description":"

(80-100%)

Über diese Stelle

Als (Assistant) Manager im Bereich Consulting mit Fokus auf Financial Crime wirst du Teil eines ambitionierten und engagierten Teams, das täglich daran arbeitet, Banken, Versicherungen und andere Finanzdienstleister fit für regulatorische Herausforderungen zu machen – ob Geldwäscherei, Sanktionen oder Korruption.

Du wirst dafür zuständig sein, einen lokalen Kundenstamm zu betreuen und weiterzuentwickeln. Dabei arbeitest du eng mit der Leitung am Hauptsitz zusammen und erhältst Unterstützung von deinen Kolleg*innen in unseren anderen Büros. Ausserdem freuen wir uns, wenn du aktiv an verschiedenen fachspezifischen und sozialen Veranstaltungen sowie Seminaren teilnimmst, um das gesamte Dienstleistungsangebot von Forvis Mazars zu präsentieren.

Deine Aufgabe

Du hast eine aktive Rolle am Aufbau eines Kundenportfolios im Bereich Financial Crime.
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Du arbeitest eng mit Kundinnen und Kunden zusammen und berätst sowie unterstützt sie bei der Entwicklung und Umsetzung von Compliance-Strategien und Programmen zur Bekämpfung von Finanzkriminalität.
\n
Du begleitest Risk-Assessments, interne Untersuchungen und komplexe Beratungs- oder Prüfmandate im Bereich Financial Crime.
\n
Du unterstützt bei der Ausarbeitung von Richtlinien, Prozessoptimierungen und Schulungen.
\n
Du bringst dein Fachwissen aktiv ein und unterstützt dabei, regulatorische Vorgaben (wie die der FINMA oder der FMA Liechtenstein) im Bereich Geldwäschereibekämpfung, Sanktionen sowie Korruptionsprävention umzusetzenDu arbeitest an spannenden Projekten an der Schnittstelle zwischen Wirtschaft, Recht und Technologie.
\n
Du bearbeitest komplexe rechtliche Fragestellungen für nationale und internationale Kunden im Bereich Finanzdienstleistungen in der Schweiz und Liechtenstein.
\n
Du übernimmst Verantwortung für jüngere Teammitgliedern und unterstützt sie beim fachlichen und persönlichen Wachstum – durch Coaching, Feedback und Mentoring.
\n
Du arbeitest eng mit erfahrenen Personen und dem Management unserer Kunden zusammen – und wirst schnell zur geschätzten Vertrauensperson.
\n

Dein Profil

Du verfügst über einen Masterabschluss in Rechtswissenschaften, Betriebswirtschaft oder einer vergleichbaren Qualifikation im Bereich Financial Crime Compliance.
\n
Eine Weiterbildung oder Zertifizierung wie z. B. ACAMS ist von Vorteil.
\n
Du bringst 4 bis 6 Jahre Berufserfahrung als AML Compliance Officer in einer Schweizer Privatbank oder in einer vergleichbaren Funktion im Bereich Financial Crime Compliance mit (z. B. Ermittlungen, Bekämpfung von Geldwäscherei und Terrorismusfinanzierung, Sanktionen, Betrug, Korruption etc.).
\n
Du hast ein starkes Interesse am Finanzmarkt und bringst Leidenschaft, Entschlossenheit und den Wunsch mit, unsere Kunden als vertrauenswürdiger Partner mit exzellentem Service zu unterstützen.
\n
Erfolgsfaktoren, die deine Karriere beschleunigen: Teamfähigkeit, unternehmerisches Denken, Freude an herausfordernden Fragestellungen und interdisziplinärer Projektarbeit, hoher Qualitätsanspruch sowie Affinität zu neuen Technologien und regulatorischem Wandel.
\n
Du verfügst über sehr gute Deutsch- und Englischkenntnisse; jede weitere Sprache ist ein Plus.
\n

Warum Forvis Mazars

Du bist Teil eines internationalen, multikulturellen Teams von hoch motivierten Fachleuten
\n
Dich erwartet ein kollegiales Umfeld, in dem Vertrauen und Respekt gelebt werden
\n
Wir bieten dir ein schnell wachsendes Umfeld, in dem unternehmerischer Antrieb willkommen ist
\n
Wir bieten ein hybrides Arbeitsmodell an: Home-Office Flexibilität nach Absprache möglich
\n
Du hast ausgezeichnete Karriereentwicklungsmöglichkeiten und sowohl interne als auch externe Weiterbildungsoptionen, bei denen Forvis Mazars Dich finanziell und zeitlich unterstützt.
\n
Du kannst deine Stärken einbringen und einen wertvollen Beitrag zum Unternehmenserfolg leisten.
\n

Bei Forvis Mazars stehen Vielfalt und Integration im Mittelpunkt unserer Werte. Wir sind uns bewusst, dass eine integrative und vielfältige Organisation uns als Unternehmen stärker macht.

Wir sind stets bestrebt, Mitarbeitende zu gewinnen, welche die Vielfalt unserer Stakeholder widerspiegeln, unabhängig ihrer ethnischer Zugehörigkeit, Nationalität, Behinderung, Glaube oder Weltanschauung, sozialem Hintergrund, Alter, sexuellen Orientierung und Geschlechtsidentität. Forvis Mazars wählt die Kandidatinnen und Kandidaten aufgrund ihrer Fähigkeiten, Kenntnisse, Qualifikationen und Erfahrungen aus.

Forvis Mazars Group SC ist ein unabhängiges Mitglied von Forvis Mazars Global, einem führenden Professional Services-Netzwerk. Als international integrierte Partnerschaft ist die Forvis Mazars Group in über 100 Ländern und Regionen der Welt tätig und auf die Bereiche Audit, Tax sowie Advisory spezialisiert. Die Partnerschaft greift auf die Expertise und das kulturelle Know-how von mehr als 40.000 Mitarbeitenden weltweit zurück, um Kundinnen und Kunden jeder Grösse in jeder Phase ihrer Entwicklung zu unterstützen. In der Schweiz arbeiten mehr als 400 Expertinnen und Experten an zehn verschiedenen Standorten.

Informationen für Personalvermittler

Mazars nimmt für diese Position ohne vorgängige Absprache keine unaufgeforderten Bewerbungen von Personalvermittlern entgegen. Personalvermittler senden daher bitte keine Unterlagen an unsere Mitarbeitenden oder über unser Karriere Website. Wir lehnen jegliche Verantwortung für unaufgefordert eingereichte Bewerbungen sowie etwaige Gebühren ab und danken für Ihr Verständnis.

","hiringOrganization":{"@type":"Organization","name":"Forvis Mazars","sameAs":"https://www.forvismazars.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Zürich, Switzerland","addressCountry":"Switzerland","addressRegion":"Europe"}}}},{"@type":"ListItem","position":14,"item":{"@type":"JobPosting","title":"Assistant Manager (Quality Assurance), Financial Crime Compliance","datePosted":"2025-08-12","description":"

About FWD Group

For more information, please visit www.fwd.com

For more information about FWD Hong Kong, please visit www.fwd.com.hk/.

We are seeking a highly experienced and detail-oriented Quality Assurance (QA) Manager to implement the QA framework within our Financial Crime Compliance (FCC) program including but not limited to, Anti-Money Laundering, Sanctions, Anti-Bribery & Corruption (ABC), and Anti-Fraud. This person will be responsible for conducting QA reviews across all FWD operating Business Units. This role is critical in ensuring the effectiveness and consistency of FCC controls throughout the insurance business, while driving continuous improvement and maintaining strong compliance with regulatory requirements and internal standards.

The Job

Support the Compliance Quality Assurance team lead to monitor and review Anti Money Laundering (AML) control to ensure that the company’s operation complies with regulatory and internal requirements.
Support the team lead to develop the Compliance testing framework.
Implement, maintain, and enhance a robust QA program to assess the effectiveness of FCC processes across all departments, including but not limited to name screening, customer due diligence (CDD), premium collection, transaction monitoring and data quality in the AML system.
Support to create comprehensive testing methodologies.
Prepare QA reports with detailed findings and recommendations within agreed timelines. Follow up on management responses and remedial actions.
Any ad hoc assignments or tasks that may be delegated from time to time.

The Person

Degree holder in Computer Science, Business Administration or Information Systems is preferable.
Minimum 3 years’ working experience in insurance industry.
Familiar with insurance related legislations and regulatory requirements in Hong Kong and Bermuda.
Exposure in AML system implementation is an advantage.
Hands-on experience in conducting AML and review.
Fluent in written and spoken English & Cantonese.
Detailed person with strong analytical and research skills.
Good interpersonal, presentation and communication skills.
Knowledge in programming such as Python, VBA or SQL is a strong plus.
Able to work under pressure and meet all deadlines.

We offer 5-day work, 20-22 days annual leaves, excellent learning & development opportunities and an attractive package to the right candidate.

Information collected will be treated in strict confidence and used solely for recruitment purpose. The company will retain all applications no longer than 24 months of which will be destroyed thereafter. When there are vacancies in any of our subsidiaries, holding companies, associated or affiliated companies of, or companies controlled by, or under common control with the Company during that period, we may transfer your application to them for consideration of employment. We are an equal opportunity employer. We do not discriminate on the basis of race, sex, disability or family status in employment process.

","hiringOrganization":{"@type":"Organization","name":"FWD Group","sameAs":"https://www.fwd.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Hong Kong - Millennium City","addressCountry":"Hong Kong","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":15,"item":{"@type":"JobPosting","title":"Assistant Manager (Quality Assurance), Financial Crime Compliance","datePosted":"2025-08-12","description":"

About FWD Group

For more information, please visit www.fwd.com

For more information about FWD Hong Kong, please visit www.fwd.com.hk/.

The Job

Support the Compliance Quality Assurance team lead to monitor and review Anti Money Laundering (AML) control to ensure that the company’s operation complies with regulatory and internal requirements.
Support the team lead to develop the Compliance testing framework.
Implement, maintain, and enhance a robust QA program to assess the effectiveness of FCC processes across all departments, including but not limited to name screening, customer due diligence (CDD), premium collection, transaction monitoring and data quality in the AML system.
Support to create comprehensive testing methodologies.
Prepare QA reports with detailed findings and recommendations within agreed timelines. Follow up on management responses and remedial actions.
Any ad hoc assignments or tasks that may be delegated from time to time.

The Person

Degree holder in Computer Science, Business Administration or Information Systems is preferable.
Minimum 3 years’ working experience in insurance industry.
Familiar with insurance related legislations and regulatory requirements in Hong Kong and Bermuda.
Exposure in AML system implementation is an advantage.
Hands-on experience in conducting AML and review.
Fluent in written and spoken English & Cantonese.
Detailed person with strong analytical and research skills.
Good interpersonal, presentation and communication skills.
Knowledge in programming such as Python, VBA or SQL is a strong plus.
Able to work under pressure and meet all deadlines.

","hiringOrganization":{"@type":"Organization","name":"FWD Insurance","sameAs":"https://www.fwd.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Hong Kong - Millennium City","addressCountry":"Hong Kong","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":16,"item":{"@type":"JobPosting","title":"Senior Consultant (Assistant Manager), Regulatory Compliance Advisory","datePosted":"2025-08-22","description":"

The Role

We are seeking a Consultant / Senior Consultant to join our Regulatory Compliance Advisory team. This role is based in our Cayman Islands office and offers the opportunity to work across various jurisdictions, including the British Virgin Islands, Bermuda, the Channel Islands, the Eastern Caribbean, and others, supporting a wide range of complex and high-profile engagements.

Candidates with a background in professional services, regulatory compliance, or related financial services roles are encouraged to apply. As a Consultant or Senior Consultant, you will contribute to the delivery of regulatory advisory services to a diverse client base including financial institutions, investment entities, and corporate service providers. You will be part of a dynamic and collaborative team of seasoned professionals, supporting clients with strategic insights and practical solutions in response to evolving regulatory landscapes. You will also regularly assist our restructuring and insolvency teams with regulatory input in the context of their engagements.

While prior regulatory experience is beneficial, this role presents a strong opportunity to build deep expertise by working closely with senior team members, gaining hands-on exposure to cross-border regulatory frameworks and challenges across multiple jurisdictions. The role will suit individuals who are adaptable, intellectually curious, and eager to develop their compliance and advisory skills in a fast-paced and varied environment.

Key Responsibilities

Working closely with senior team members on the execution of regulatory engagements, with the opportunity to take ownership of specific workstreams and develop into a lead role. This includes AML/CTF reviews, compliance gap analyses, regulatory health checks, and remediation support.
Acting as the primary client contact on select assignments, managing communications, deliverables, and stakeholder expectations.
Supporting regulatory change projects, helping clients interpret and implement evolving requirements across Cayman, BVI, Bermuda, the Channel Islands, and the Eastern Caribbean.
Assisting clients in developing and enhancing compliance frameworks, including policies, procedures, governance structures, and reporting processes.
Managing parts or all of an engagement, including project planning, execution, and reporting, while supporting senior team members with external communications and key decisions.
Maintaining a strong understanding of local and international regulatory trends and updates - including those issued by CIMA and other regional regulators - covering areas such as AML/CFT, governance, internal controls, FATF/CFATF recommendations and advising clients accordingly.
Building and maintaining strong relationships with clients, regulators, and key stakeholders across jurisdictions.
Providing input into client business continuity, operational risk, and regulatory risk management strategies.
Supporting the preparation of proposals, thought leadership, and participation in business development efforts including events and industry outreach.
Contributing to internal knowledge-building, training programs, and regional practice development initiatives.

Key Skills & Experience

2-3 years experience in regulatory compliance, risk management, or a related field within professional services, financial services, or a regulatory body
Working knowledge of regulatory frameworks and expectations in one or more relevant jurisdictions (e.g. Cayman, BVI, Bermuda, Channel Islands, Eastern Caribbean)
Familiarity with key regulatory topics including AML/CFT, corporate governance, internal controls, beneficial ownership, regulatory reporting, and data privacy
Awareness of regulatory developments issued by CIMA and other Caribbean regulators, as well as international bodies such as FATF, CFATF and OECD
Strong research and analytical skills, with the ability to interpret regulations and apply them in practical client scenarios
Excellent written communication and report-writing skills, with a high standard of attention to detail
Capable of supporting or managing multiple workstreams, including task prioritisation, issue tracking, and stakeholder updates
Client-facing experience is advantageous, along with the confidence to communicate clearly and build trusted relationships with a wide range of stakeholders
A proactive mindset and a willingness to learn from senior colleagues while gradually taking on increased responsibility
Ability to work both independently and collaboratively within cross-functional and cross-jurisdictional teams
Strong interpersonal skills and professional presence, with a collaborative and inclusive approach to working with others
Strong organisational skills and the ability to manage multiple engagements simultaneously in a fast-paced environment
Professional certifications such as CAMS, ICA, or other compliance-related qualifications are highly desirable
Ability to conduct business in fluent oral and written English is a pre-requisite.

The Financial Advisory Team at Teneo

Teneo’s global Financial Advisory business advises corporates, creditors and other financial stakeholders. No two situations are the same. Our advice and approach is tailored to each situation and each client. At Teneo, we support our clients to identify and pursue opportunities to create and restore value, raise new capital, pivot in a new direction and ultimately, achieve their strategic goals. Teneo partners with clients to find viable opportunities that will protect and enhance value and help them to build strategies that will most benefit their business and/or investment goals.

Integrating the disciplines of financial advisory, management consulting, investor relations, strategic communications, government affairs, risk analysis and talent advisory, Teneo’s global Financial Advisory team guides companies and their stakeholders throughout various stages of their lifecycles. We help address the challenges a business faces, whether that is targeted performance improvement, or delivering a route to recover value, our focus is delivering certainty from uncertainty.

What can we offer you?

New joiners are supported by an induction programme. As well as this we offer a whole host of benefits and rewards, including;

Market-leading salary
25 days holiday
Cash benefits allowance
Discretionary Bonus Scheme
Company pension scheme
Healthcare insurance
Extensive investment in personal development & learning
Enhanced maternity and paternity leave (depending on length of service) and shared parental leave
Life assurance
Regular social, cultural and charitable activities

About Teneo

Teneo is the global CEO advisory firm. We partner with our clients globally to do great things for a better future.

Drawing upon our global team and expansive network of senior advisors, we provide advisory services across our five business segments on a stand-alone or fully integrated basis to help our clients solve complex business challenges. Our clients include a significant number of the Fortune 100 and FTSE 100, as well as other corporations, financial institutions, and organizations.

Our full range of advisory services includes strategic communications, investor relations, financial transactions and restructuring, management consulting, physical and cyber risk, organizational design, board and executive search, geopolitics and government affairs, corporate governance, ESG and DE&I.

The firm has more than 1,600 employees located in 40+ offices around the world.

#LI-Hybrid

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At AIA we’ve started an exciting movement to create a healthier, more sustainable future for everyone.

It’s about finding new ways to not only better people's lives, but to better the communities and environments we live in. Encompassing our ambition of helping a billion people live Healthier, Longer, Better Lives by 2030.

And to get there, we need ambitious people who believe in playing an important part in shaping that future. People seeking unmatched career and personal growth opportunities, who are driven to work with, and learn from some of the most inspiring and supportive leaders in the business.

Sound like you? Then read on.

About the Role

Responsible for ensuring that AIA conducts business in compliance with ethical business practices, AIA policies and legal requirements

• Develop procedures intended to prevent unethical and illegal conduct\n• Drive organisation culture, awareness and ethics towards rigorous risk management and strict compliance\n• Develop and deliver compliance training as needed\n• Set up policies and guidelines to ensure alignment and adherence to legal and regulatory requirements

Build a career with us as we help our customers and the community live Healthier, Longer, Better Lives.

You must provide all requested information, including Personal Data, to be considered for this career opportunity. Failure to provide such information may influence the processing and outcome of your application. You are responsible for ensuring that the information you submit is accurate and up-to-date.

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Title: SEA L&D Assistant Manager/ Senior Executive (Compliance)

Are you ready to unleash your potential?

At Deloitte, our purpose is to make an impact that matters for our clients, our people, and the communities we serve.

We believe we have a responsibility to be a force for good, and WorldImpact is our portfolio of initiatives focused on making a tangible impact on society’s biggest challenges and creating a better future. We strive to advise clients on how to deliver purpose-led growth and embed more equitable, inclusive as well as sustainable business practices.

Hence, we seek talented individuals driven to excel and innovate, working together to achieve our shared goals.

We are committed to creating positive work experiences that foster a culture of respect and inclusion, where diverse perspectives are celebrated, and everyone is recognised for their contributions.

Ready to unleash your potential with us? Join the winning team now!

Work you’ll do:

The SEA L&D Assistant Manager or Senior is responsible for the end-to-end coordination and execution of compliance learning programs across the region. This role ensures a seamless, standardized, and regulatory-compliant learning experience by managing communications, tracking learner progress, and reporting outcomes. The role acts as a key liaison between Risk, Country Teams, Business Units (BUs), and other L&D stakeholders.

Responsibilities:

Learning Program Management : Plan and manage compliance and other programs tailored to BU needs and regulatory standards.
Learning Assignment & Communication : Allocate training modules to employees based on their roles and regulatory requirements. Manage communications across channels (e.g., email, intranet) to ensure clarity, engagement, and timely completion.
Training Progress Monitoring & Analytics : Track and monitor training completion across all BUs. Use data analytics to generate insights, identify gaps, and ensure all employees meet their compliance learning requirements.
Compliance Reporting : Produce and distribute regular reports on training completion rates and compliance status to relevant stakeholders. Support decision-making and regulatory assurance through accurate and timely reporting.
Training Records Management : Maintain accurate, up-to-date documentation of all compliance training activities, completions, and certifications to support audits and internal reviews.
Employee Support : Serve as the primary point of contact for compliance learning queries. Provide guidance and resolve issues to ensure a smooth learner experience.
Stakeholder Engagement & Alignment: Collaborate closely with Risk, BU, Country and other L&D teams to ensure compliance training programs are consistently delivered across all Business Units to ensure precision, consistency, and accountability in meeting regulatory requirements.

Your role as a leader

At Deloitte, we believe in the importance of empowering our people to be leaders at all levels. We connect our purpose and shared values to identify issues as well as to make an impact that matters to our clients, people and the communities. Additionally, Senior Executives / Assistant Managers across our Firm are expected to:

Actively seek out developmental opportunities for growth, act as strong brand ambassadors for the firm as well as share their knowledge and experience with others.
Respect the needs of their colleagues and build up cooperative relationships.
Understand the goals of our internal and external stakeholder to set personal priorities as well as align their teams’ work to achieve the objectives.
Constantly challenge themselves, collaborate with others to deliver on tasks and take accountability for the results.
Build productive relationships and communicate effectively in order to positively influence teams and other stakeholders.
Offer insights based on a solid understanding of what makes Deloitte successful.
Project integrity and confidence while motivating others through team collaboration as well as recognising individual strengths, differences, and contributions.
Understand disruptive trends and promote potential opportunities for improvement.

Requirements:

Bachelor's degree in Education, Human Resources, Business Administration, or a related field.
3–5 years of experience in Learning & Development, with a focus on compliance or regulatory training.
Strong understanding of compliance frameworks and regulatory requirements in a professional services environment.
Proficiency in learning management systems (LMS) , Microsoft Excel, database management and reporting tools.
Excellent communication, stakeholder management, and analytical skills.
Strategic mindset with attention to detail and ability to manage multiple priorities across regions.

Due to volume of applications, we regret only shortlisted candidates will be notified. Candidates will only be contacted by authorised Deloitte Recruiters via firm’s business contact number or business email address.

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A Career with Point72’s Compliance Department

The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us.

What you’ll do

Provide advisory compliance and legal support to the firm’s research and data initiatives across all investment strategies, with particular focus on data, software, and advancing technological solutions
Conduct due diligence reviews of potential data providers and software solutions including, but not limited to, applicable compliance policies; usage rights; authorization to sell, license, or share the data; and compliance with applicable federal and state laws
Prepare due diligence memoranda
Conduct diligence reviews of automated open-source program requests and document accordingly
Provide compliance support and monitor research centric for discretionary investment, proprietary research, and quantitative investment strategy teams
Negotiate data and research provider contracts
Draft, enhance, and implement compliance best practices
Collaborate internally with the broader Compliance department
Advise key stakeholders and management on applicable regulatory developments and case law, and help draft and refine policies and training as required
Assist with ad hoc legal and compliance issues, special projects, and strategic initiatives

What’s required

1-3 years of compliance experience in the financial services industry
Juris Doctorate degree from an accredited law school and bar membership
Strong verbal and written communication skills
Strong analytical, problem-solving, planning, and organizational skills
Attention to detail and the ability to handle multiple tasks simultaneously
Commitment to the highest ethical standards

We take care of our people

We invest in our people, their careers, their health, and their well-being. When you work here, we provide:

Fully-paid health care benefits
Generous parental and family leave policies
Volunteer opportunities
Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community
Mental and physical wellness programs
Tuition assistance
A 401(k) savings program with an employer match and more

About Point72

Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry’s brightest talent by cultivating an investor-led culture and committing to our people’s long-term growth. For more information, visit https://point72.com/.

The annual base salary range for this role is $125,000-$175,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.

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Job Description

Role: Audit & Complaince

Location: Bangalore

Full/ Part time: Full time

Build a career with confidence

Carrier Global Corporation, global leader in intelligent climate and energy solutions is committed to creating solutions that matter for people and our planet for generations to come. From the beginning, we've led in inventing new technologies and entirely new industries. Today, we continue to lead because we have a world-class, diverse workforce that puts the customer at the center of everything we do

About the role:

We are seeking a highly skilled and experienced DT Compliance Lead to join our team, within Cyber Security function in Carrier, the ideal candidate will have a strong background in IT audits, compliance, and risk management. This is an individual contributor role that requires a proactive and detail-oriented professional to manage and support various compliance and audit activities. The individual will be responsible for governance and oversight of enterprise-wide SOX IT control program to mitigate the risk of material omissions, errors or weaknesses in our technology and security controls. The position requires a combination of strong program management and leadership skills, along with broad technical knowledge and subject-matter expertise in IT audits and compliance. This individual will be responsible for managing SOX compliance expectations with our key stakeholders including control owners, senior/executive management, and internal/external auditors.

Key Responsibilities:

· Oversee program management for all activities including planning, scoping, audit fieldwork, issue identification, reporting, and remediation of issues.

· Develop an intimate understanding of Carrier’s business processes and the role of technology in meeting business objectives including key IT processes, automations, reports, data flows, and interfaces.

· Maintain SOX IT documentation, liaise with internal and external auditors, and provide guidance and support to technology control owners on control design, audit requirements, and issue remediation.

· Conduct internal audits to assess the effectiveness of internal controls and compliance with policies and regulations.

· Coordinate and support external audits, including providing necessary documentation and information.

· Evaluate IT control deficiencies for impact and perform root cause analysis to determine appropriate management actions. Monitor management’s remediation efforts to closure, including review of supporting evidence.

· Serve as subject matter expert and advise on the SOX compliance implications of technology related changes to the business such as new product lines, new system implementations etc.

· Develop a continuous monitoring program with an emphasis IT controls automation.

· Develop metrics, reporting and dashboards to track SOX IT control effectiveness and ensure process efficiency, and that risks are being appropriately tracked, communicated and managed.

· Continually identify opportunities to benchmark controls, automate control testing and streamline manual efforts to increase efficiency and reduce cycle times.

· Stay current on new technical literature applicable to the internal control process (e. g., PCAOB guidance, SEC, COSO, COBIT, etc.) and maintain awareness of emerging trends and best practices around technology and security controls.

· Successfully partner with and manage executive level stakeholders, PMOs & Working Groups with Domestic & International cross-functional teams.

· Create and deliver DT SOX Compliance training materials to key stakeholders.

· Provide guidance and support to other teams on compliance-related matters.

· Prepare and present reports on compliance activities and findings to senior management.

Requirment

· Minimum 8-10 years of experience in IT audits, compliance, and risk management.

· Full-time Bachelor’s degree in IT, Computer Science or equivalent.

· Certifications such as CISA, CISM, or CISSP or similar professional certifications are highly desirable.

· Demonstrated success and understanding of accepted frameworks such as, ISO/IEC 27001, COBIT, and NIST, including 800-53 and the Cybersecurity Framework.

· Advanced knowledge of SOX IT requirements, COSO/CoBIT framework and PCAOB standards, and in-depth experience with testing general IT and application controls, segregation of duties (SoD) rules, reports and interfaces. ServiceNow GRC preferred.

· Excellent analytical and problem-solving skills.

· Excellent written and verbal communication skills, strong interpersonal skills and the ability to communicate technical concepts effectively across functions and all levels of management.

· Highly motivated self-starter with a meticulous attention to detail and bias to action, who is eager to put his/her stamp on our rapidly increasing compliance footprint.

· Ability to work independently and manage multiple priorities.

· Detail-oriented with a high level of accuracy., or accounting.

Key Attributes:

Forward-thinking mindset with strong digital acumen.
Ability to collaborate across business, legal, and engineering functions.
Strong sense of ethics, accountability, and customer trust.
Excellent communication and stakeholder influence capabilities.

Benefits

We are committed to offering competitive benefits programs for all of our employees, and enhancing our programs when necessary.

Make yourself a priority with flexible schedules, parental leave
Drive forward your career through professional development opportunities
Achieve your personal goals with our Employee Assistance Programme

Our commitment to you

Our greatest assets are the expertise, creativity and passion of our employees. We strive to provide a great place to work that attracts, develops and retains the best talent, promotes employee engagement, fosters teamwork and ultimately drives innovation for the benefit of our customers. We strive to create

an environment where you feel that you belong, with diversity and inclusion as the engine to growth and innovation. We develop and deploy best-in-class programs and practices, providing enriching career opportunities, listening to employee feedback and always challenging ourselves to do better. This is The Carrier Way.

Join us and make a difference.

Apply Now!

Carrier is An Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status, age or any other federally protected class.

Job Applicant's Privacy Notice:

Click on this link to read the Job Applicant's Privacy Notice

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As a Federally Chartered Bank and Federally and Provincially regulated Trust Company, Manulife Bank and Manulife Trust (“Manulife Bank”) are subject to numerous legislative requirements including the Bank Act, the Trust and Loans Company Act, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and the Personal Information Protection and Electronics Document Act, among others.

Reporting into the Director of Regulatory Compliance, the Compliance Consultant, Regulatory Compliance, is responsible for helping support the effective operation of Manulife Bank’s Regulatory Compliance program, including the maintenance of all relevant regulatory compliance management records, risk and control assessments, evidence of controls and providing of effective challenge.

The Compliance Consultant, Regulatory Compliance is an experienced professional with expertise in reviewing and interpretating legislation and documenting requirements in plain language. The Compliance Consultant must also have experience working with regulators and have an understanding of Bank industry issues impacting the business units of the Bank.

In addition to the Bank Compliance team, this role interacts with senior leaders, our Legal department and broader compliance teams.

Position Responsibilities:

Providing strategic support and direction, including acting as a team player and contributing to a positive and productive work environment.
Supporting the review, interpretation, and summarizing of applicable legislation to ensure relevant stakeholders understand the requirements and actions needed to meet compliance requirements.
Triaging and responding to complex questions from our business partners, conducting marketing reviews and support, and providing privacy consultation to ensure the safety and security of customer data.
Supporting senior team members on digital transformation initiatives taking place within the business and providing guidance to colleagues based on technical legislative requirements and controls to mitigate risk.
Reviewing of business processes, policies, training and other documentation to meet current regulatory requirements.
Triaging and supporting the review of external public facing communications to ensure compliance and applicable policy requirements are observed.
Providing training to our business partners regarding legislative requirements and regulatory compliance management concepts, including first, second, and third line of defense.
Providing training and educational seminars for our business partners including Operations, Product, Marketing, Digital Teams, Distribution and Finance.
Providing both verbal and written direction to our business partners to ensure understanding and compliance with the regulatory requirement(s).
Using technology to enhance the tracking initiatives and inquiries to find efficiencies and support the business.
Executing ad hoc tasks that may be assigned from time to time.

Required Qualifications:

Experience or familiarity with Regulators including FCAC and OSFI.
Ability to review, interpret and document legislation and regulatory requirements.
Highly organized and is able to prioritize work in a fast-paced environment.
Excellent written and verbal communication skills, with the ability to simplify complicated messages.
Ability to readily recognize and evaluate the impact of current or potential compliance issues.
Ability to quickly understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, make practical recommendations and exercise good judgment in escalating issues.
Proven interpersonal, negotiation and relationship management skills. Must be able to exchange and clarify details of information in a controlled and confident manner.
Ability to work with fluid and changing accountabilities.
Team player who is willing to assist team members on projects and assist in sharing workloads when necessary.
Ability to work independently and in a team environment.
Ability to work with multiple objectives, conflicting priorities and complex issues.
Ability to interact effectively with management and counterparts in other business units.
Professional attitude and adherence to a high ethical standard.

Preferred Qualifications:

Legal background would be considered an asset.
Specialized compliance expertise and/or legal experience working in financial services.
Subject matter expertise in banking legislation, products and procedures in various operational areas is desirable.
Ability to use applications including Windows, Microsoft Office, Excel, PowerPoint and Archer (preferred).

Key Skills:

Must be able to exercise judgment in quickly identifying issues, challenging courses of action, and assessing risks.
Must be able to easily develop recommendations and modify plans as business conditions change.
Balance business needs against the policies, procedures and practices necessary to ensure compliance with regulatory obligations.
Influence others on compliance issue resolution without direct authority and be a strong facilitator.
Deal with sensitive issues that could be exposed to the media or regulators.

When you join our team:

We will empower you to learn and grow in the career you want.
We will recognize and support you in a flexible environment where well-being and inclusion are more than just words.
As part of our global team, we will support you in shaping the future you want to see.

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

Manulife is an Equal Opportunity Employer

At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact recruitment@manulife.com.

Referenced Salary Location

Toronto, Ontario

Working Arrangement

Hybrid

Salary range is expected to be between

$71,925.00 CAD - $119,875.00 CAD

If you are applying for this role outside of the primary location, please contact recruitment@manulife.com for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.

Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S., please contact recruitment@manulife.com for more information about U.S.-specific paid time off provisions.

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Company Description

ABOUT IQ-EQ

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

At IQ-EQ UK, we don’t just talk about being a great workplace – we’ve been recognized for it. Recently named in The Sunday Times Best Place to Work 2025 we craft spaces where potential is nurtured, individuality is celebrated, and careers flourish. Loving where you work shouldn’t be a bonus, it should be the baseline.

Job Description

Are you passionate about financial crime compliance and ready to make a meaningful impact? We're looking for a dynamic and team-oriented Compliance Consultant to join our fast-growing business line. In this role, you'll be at the forefront of client engagement - managing relationships, delivering high-quality compliance solutions, and supporting firms with expert advice.

You'll lead key projects including compliance monitoring assessments, policy and procedure reviews, and the creation of regulatory reports and manuals. As the first point of contact for a portfolio of clients, you'll ensure they receive market-leading support and guidance tailored to their needs.

If you're eager to grow your career in a collaborative environment and help shape the future of compliance, we’d love to hear from you.

WHAT YOU WILL DO

You provide clear, responsive regulatory advice and tailored compliance solutions to clients
You lead consulting engagements across financial crime topics like AML, market abuse, and anti-bribery and corruption
You develop and implement policies, procedures, and monitoring programs, ensuring clients stay ahead of regulatory changes
You conduct onsite compliance reviews, draft detailed reports, and contribute to thought leadership on emerging regulations
You build strong client relationships, becoming their trusted advisor and first point of contact for ongoing compliance support.

WHAT WE OFFER

Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day

Qualifications

Strong background in Compliance or AML/KYC, ideally gained at leading consultancies or professional services firms such as ACA, Bovill, Big Four, or similar.
Deep understanding of financial crime regulations, including FCA compliance and Money Laundering Regulations.
Proven ability to deliver client advisory and monitoring work, with a practical approach to implementing regulatory solutions.
Excellent communication skills and a proactive, client-focused mindset.
Educational background in a relevant field (Bachelor’s or CISI Diploma), with proficiency in Microsoft Office and experience across financial services sectors like asset management or banking.

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,500+ employees - from 94 nationalities, speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.

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Assist in managing the implementation of regulatory requirements and Group Compliance policies and procedures in relation to the Covered Business.
Assist in the management of compliance related risk, conflict of interest of the Covered Business in CIMB Group.
Assist to ensure the effective management of compliance matters in relation to the Covered Businessmatters in CIMB Group.
Assume active involvement in management of critical issues and provide solution, where needed.
Assist to advise CIMB Securities Board of Directors & relevant stakeholders on compliance and regulatory issues as required.
Support the stakeholders in establishing appropriate monitoring mechanism for meeting regulatory obligations in the conduct of their businesses and in accordance with Group Compliance policies and procedures.
Assist in ensuring the implementation of appropriate and effective risk based monitoring.
Assist to provide advisory and appropriate training, where required. Support the Regional Head of Wholesale Banking Compliance and stakeholders in meeting CIMBGroup’s business and strategic objectives.
Assist in the implementation and completion of the compliance review/monitoring functions in accordance with Group Compliance annual compliance work plan.
Champion collaboration with other departments and facilitate collaboration across countries for sharing of best practices and business opportunities
Any other responsibilities / tasks as assigned by the Regional Head, Wholesale Banking Compliance/ Director – Wholesale Banking Compliance (Investment Banking)from time to time.

","hiringOrganization":{"@type":"Organization","name":"CIMB","sameAs":"https://www.cimb.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Malaysia","addressCountry":"Malaysia","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":24,"item":{"@type":"JobPosting","title":"Senior Compliance Officer, Merchants Compliance","datePosted":"2025-08-08","description":"

Paysafe is a leading payments platform with an extensive track record of serving merchants and consumers in the global entertainment sectors. Its core purpose is to enable businesses and consumers to connect and transact seamlessly through industry-leading capabilities in payment processing, digital wallet, and online cash solutions. With 29 years of online payment experience, an annualized transactional volume of $152 billion in 2024, and approximately 3,000 employees located in 12+ countries, Paysafe connects businesses and consumers across 260 payment types in 48 currencies around the world. Delivered through an integrated platform, Paysafe solutions are geared toward mobile-initiated transactions, real-time analytics and the convergence between brick-and-mortar and online payments. Further information is available at www.paysafe.com.

Responsibilities:

Steers the risk appetite with regard to the company’s Acceptable Use Policy (AUP), in alignment with the relevant Merchant Risk teams, other Compliance teams and the relevant senior management of the company. Makes sure business line specifics within the merchant portfolio of the company are considered in any AUP updates.
Leads Compliance and financial crime advisory work in relation to merchants or corporate partners (incl. new and existing business initiatives) with the view to ensure compliance with internal policies and the regulatory landscape. Reports potential issues and proposes risk mitigation measures to management.
Works closely with the relevant Risk and Compliance team, as well as other key stakeholders like Product and operational teams to ensure implementation of the Compliance framework and requirements. Works on cases where new products or payment flows are created, as it is ensured that Financial Crime Risk Assessment team is provided with the relevant framework.
Represents Compliance in projects related to merchants or corporate partners, including new and existing business models, products and/or solutions.
Contact point for all teams on a group level for merchant compliance topics. Escalation point for the out of policy complex compliance business cases that require assessment and resolution. Escalates to management when necessary and proposes solutions from Compliance standpoint.
Closely collaborates with the other Risk and Compliance functions to ensure consistency in approach.
Upon request develops training materials related to Merchant compliance and delivers training to new and existing team members globally.
Identifies areas for process improvement and drives initiatives to improve processes or implement system solutions related to merchant compliance and financial crime framework.

To be successful you need to have:

Educational requirements for the position: secondary education
5+ years of post-qualification experience in compliance and/or the international financial services industry
Understanding and expert knowledge of the applicable legal framework for prevention of money laundering and the financing of terrorism, as well as other regulatory issues concerning various types of regulated financial services businesses
Experience in developing and implementing compliance policies and procedures is preferable
Experience and understanding of merchant due diligence
Excellent collaboration and communication skills
Open-mind and eagerness to challenge the status quo and to deliver top results in close collaboration with the team
Readiness to work in an international environment with the willingness to travel from time to time
Computer literacy and business tools knowledge
Fluency in English

We offer in return:

The opportunity to write the history of a leading and growing multinational company
Tailor-made training and ongoing development to help you enhance your skills in the field of online payments
Multiple career progression opportunities in a dynamic in-house business
Environment where product expertise, professional and personal commitment are rewarded
Competitive remuneration and social benefits package (25 days annual paid leave, 4 days paid volunteering time a year through our Paysafe Giving initiative, health insurance, sports card, team events, company discounts, variety of soft skills, business and technical training programs)
Fun and collaborative working atmosphere
Flexible working model - we encourage our employees to embrace our flexible working approach. You will be expected to work from home and spend an average of three days a week at our Sofia office as part of our hybrid work model

Are you ready to take your career to the next level? Join our team that is inspired by a unified vision and propelled by passion.

Send your CV in English.

Only shortlisted candidates will be contacted for an interview.

Wondering how our interview process looks like now? Learn more here: https://bit.ly/paysafeinterviews

Equal Employment Opportunity

Paysafe provides equal employment opportunities to all employees, and applicants for employment, and prohibits discrimination of any type with regard to ethnicity, religion, age, sex, national origin, disability status, sexual orientation, gender identity or expression, or any other protected characteristics. This policy applies to all terms and conditions of recruitment and employment. If you need any reasonable adjustments please let us know. We will be happy to help and look forward to hearing from you.

","hiringOrganization":{"@type":"Organization","name":"Paysafe","sameAs":"https://www.paysafe.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Sofia, 23, BG","addressCountry":"Bulgaria","addressRegion":"Europe"}}}},{"@type":"ListItem","position":25,"item":{"@type":"JobPosting","title":"Compliance Officer II - Compliance Testing","datePosted":"2025-08-06","description":"

Make banking a Fifth Third better®

We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank.

GENERAL FUNCTION:

Responsible for leading reviews in the compliance testing program to ensure full compliance with state and federal laws, rules, and regulations. Provide reporting and actively engage senior LOB leadership to communicate the results of testing and any instances of non-compliance along with guidance toward corrective action of the identified issue root cause. Works mostly self-directed, with minimal supervisory oversight. Also works within department and cross-department teams.

Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within the Bank’s risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

- Leads teams to perform reviews of various processes, identifying regulatory compliance risk and testing controls to ensure they adequately mitigate the risk.

- Design and document testing performed by establishing and maintaining comprehensive workpapers that clearly describes the testing methodology and displays the testing results.

- Explain and discuss regulatory findings with Compliance partners and LOB personnel. Identify the root cause and help to recommend an appropriate corrective action. Obtain agreement with business partners regarding issue complexity and issue resolution prior to issuing the report.

- Develops and report's findings to Senior Management regarding their business lines.

- Execute increasingly complex testing responsibilities in accordance with Procedures. Drive reviews with limited oversight and assistance. Assist Analysts and COI with testing and analysis of results.

- Review compliance risk assessment and develop testing scope and attributes to evaluate key risks identified on the risk assessment during reviews.

- Conduct reviews in a timely manner so that testing results can be delivered to the LOB. Be a Leader within the team assisting in planning and developing testing plans based on information gathered during the planning phase of the review.

- Conduct extensive research to support regulatory findings/control weaknesses.

- Actively engage in leading on-going departmental initiatives e.g. lessons learned sessions, meetings with compliance partners and other external partners.

- Foster an engaging and inclusive work environment. Actively participate in the development and fulfillment of Team Engagement Plans (TEP). Collaborate to ensure action plans are developed to address key areas of focus and document the plan and updates.

- Provide coaching to Analysts/COI when performing reviews, including assistance with testing, exception determination, and addressing any questions from the Analysts/COI for their testing.

- Act as a Mentor when onboarding and training new team members.

- Conducts interviews and discussions with managers at all levels to understand the processes, guidelines and technology platforms.

- Participates and/or leads regular meetings with peers to build and maintain knowledge of current and emerging issues and risk in the environment.

- Analyze initial testing conclusions from exceptions identified, and coordinate with Manager to hold discussions with LOB compliance partners to discuss testing exceptions and associated issues.

SUPERVISORY RESPONSIBILITIES:

Responsible for providing employees timely, candid and constructive performance feedback; developing employees to their fullest potential and provide challenging opportunities that enhance employee career growth; developing the appropriate talent pool to ensure adequate bench strength and succession planning; recognizing and rewarding employees for accomplishments.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

- Education: Bachelor's degree or equivalent work experience required.

- Three - Five (3-5) years' experience as Officer or equivalent work experience.

- Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.

- Able to understand and conceptualize basic statistical analysis and theories. With solid experience in manipulating (validating, correcting, reformatting, and transforming) data into more than one format, (e.g. spreadsheets, flat files, databases, etc.). Strong analytical skills required to gather, assess and present quantitative and qualitative data. Able to develop and support conclusions and make practical recommendations to the business lines and/or Affiliates.

- Advanced understanding of consumer finance and of Fifth Third Banking products, business lines, Affiliate structure and operations, and Corporate support organization. Including, the bank's management teams and decision-making operations.

- Strong understanding of the Office of Comptroller, Federal Reserve and Consumer Financial Protection Bureau (CFPB) examination standards and general regulatory issuances.

- Advanced understanding of the operations and interdependencies of the Affiliates and Bancorp.

- Excellent oral and written communication skills. Effectively communicates upward, downward and laterally. Displays a positive business presence with management and external contacts.

- Must be able to demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.

#LI-GM1

Compliance Officer II - Compliance Testing

Total Base Pay Range 80,500.00 - 169,100.00 USD Annual

LOCATION -- Virtual, Ohio 00000

Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.

","hiringOrganization":{"@type":"Organization","name":"Fifth Third Bank","sameAs":"https://www.53.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Virtual - Ohio, United States","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":26,"item":{"@type":"JobPosting","title":"Senior Compliance Officer, Trade Compliance","datePosted":"2025-08-04","description":"

Senior Compliance Officer, Trade Compliance

About Victory Capital:

Victory Capital is a diversified global asset management firm and employs a next-generation business strategy that combines boutique investment qualities with the benefits of a fully integrated, centralized operating and distribution platform.

Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors. With 12 autonomous Investment Franchises and a Solutions Business, Victory Capital offers a wide array of investment products and services, including mutual funds, ETFs, separately managed accounts, alternative investments, third-party ETF model strategies, collective investment trusts, private funds, a 529 Education Savings Plan and brokerage services.

Victory Capital is headquartered in San Antonio, Texas, with offices and investment professionals in the U.S. and around the world. To learn more please visit www.vcm.com or follow Victory Capital on Facebook, Twitter, and LinkedIn.

General Summary and Purpose:

You will lead a team of portfolio compliance professionals within VCM’s Legal and Compliance department, providing centralized regulatory oversight and trade compliance guidance. In this role, you will manage daily trade compliance monitoring, rule implementation, client onboarding and escalation processes, while ensuring alignment with regulatory requirements, client guidelines and internal policies and procedures. You will have the opportunity to collaborate closely with portfolio management, operations, legal and sales, while receiving cross-training in select non-core compliance functions to support broader department initiatives.

You will report to the Chief Compliance Officer

You Will:

Lead and develop a high-performing team responsible for daily monitoring of pre- and post-trade activity across multiple asset classes and account types.
Oversee and maintain the portfolio trade compliance program, with a focus on coding, testing, and managing rules within Charles River (CRD).
Manage a wide range of compliance tasks, including the interpretation of client and prospectus guidelines, rule coding, and regulatory adherence to various standards and regulations including the Investment Company Act of 1940, UCITS Directives and CSSF.
Conduct reviews of potential active and passive UCITS breaches, including detailed root cause analysis, documentation of findings, coordination with portfolio managers, and timely escalation to senior management to ensure effective remediation.
Prepare detailed incident reports for senior management and client reporting.
Support new account onboarding, including interpretation of client guidelines, rule analysis, coding and coordination with portfolio management, legal and operations teams.
Review and validate trade compliance tests to support client certification and other regulatory reporting requirements.
Lead the portfolio compliance team’s efforts in planning and executing current and future compliance rule library migrations.

You Have:

5+ years of progressive experience in portfolio compliance, including at least 2 years in a managerial or team lead role.
Experience with overseeing compliance monitoring systems with an emphasis on Charles River (CRD) and demonstrated knowledge of trade order management workflows.
Ability to understand and execute complex regulatory concepts while providing clear communication and guidance to senior members of the firm.
Experience interpreting and coding UCITS rules, reviewing client IMAs, and conducting new account onboarding from a portfolio trade compliance perspective.
Strong working knowledge of 1940 Act requirements, UCITS guidelines, CSSF regulations, and other applicable US and international regulations governing trading and investment adviser activities.
Vast knowledge and experience working with various asset classes including Equities, Swaps, Futures, Exchange Linked Notes (ELNs), Asset-Backed Securities and Insurance Linked Securities.
Bachelor’s degree (or above) in a relevant field.
MBA, JD, or advanced compliance/risk certifications (e.g., CRCP, CRCM, CIA).

Our Benefits:

Victory Capital Management offers excellent Medical, Dental, Vision plans, Flexible PTO, Family Medical and Disability Leaves, Education Tuition Reimbursement and a 401k plan with a generous employer match.

Target Compensation:

The target base salary range for this position is $125,000 - $134,000.

Salaries are determined based on internal equity, internal salary ranges, market data/ranges, applicant’s skills and prior relevant experience, certain degrees, and certifications.

Victory Capital Management operates a pay-for-performance compensation philosophy and total compensation may vary based on role, location, department and individual performance.

Victory Capital Management’s total compensation package includes the opportunity for annual compensation bonuses and/or commissions and a generous benefits package.

We are committed to equal employment opportunity without regard to actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture or a hairstyle historically associated with race to include braids, locks, or twists; or any other characteristic protected by applicable federal, state, or local laws and ordinances.

","hiringOrganization":{"@type":"Organization","name":"Victory Capital","sameAs":"https://vcm.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Boston, Massachusetts, United States","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":27,"item":{"@type":"JobPosting","title":"Compliance Officer, Wealth Compliance Examinations","datePosted":"2025-08-07","description":"

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What You’ll Be Doing

Compliance & Global Regulatory Affairs (Compliance & GRA) assists our Bank in developing and executing a robust and proactive regulatory compliance and regulatory affairs strategy, and effectively managing regulatory risk. The Compliance and EAML Examinations Program (CEEP) team, is a group within the Compliance Department, and consists of several multi-skilled examination teams, including the Wealth Compliance Examinations team. The team provides independent oversight of compliance with Investment Fund Manager, Portfolio Manager, Investment Dealer and Mutual Fund Dealer laws and regulations applicable to CIBC. The team is also responsible for monitoring, advising and reporting on adherence to regulatory and business requirements, CIBC corporate policies, best practices and acceptable standards of business ethics and conduct.

Reporting to the Director, Regulatory Compliance Testing, the Compliance Officer will be responsible for executing complex exams focusing on CIBC’s Asset Management, and Canadian Investment Regulatory Organization (CIRO) Investment Dealer and Mutual Fund Dealer activities. This includes conducting testing to inform the team’s opinion on the design adequacy and operating effectiveness of processes and controls designed to mitigate regulatory and operational risk. Furthermore, you will provide support evaluating the design and operating effectiveness of action plans developed by the Lines of Business (LoB) to remediate deficiencies.

At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote.

How You’ll Succeed

Perform Examinations - You will perform high quality, thorough and timely execution of Wealth Compliance examinations. You will have a thorough understanding of CIBC Asset Management Inc.’s (“CAMI”) Investment Fund Manager and Portfolio Management operations and regulatory requirements applicable to their activities. Additionally, you will have a thorough understanding of the operations and regulatory requirements applicable to CIBC’s Investment Dealer and Mutual Fund Dealer activities (i.e. CIBC Wood Gundy, CIBC Imperial Investor Services, CIBC Investor’s Edge, and CIBC Securities Inc.). You will use your well-developed examinations skills to evaluate the effectiveness of processes and controls and identify and recommend areas for improvement.
Regulatory Oversight - You stay informed of any upcoming changes in the Wealth Management industry including those affecting Investment Fund Managers, Portfolio Managers, Investment Dealers and Mutual Fund Dealers. This includes, but is not limited to, developments related to the Canadian Securities Administrators’ (“CSA”) National Instruments and CIRO rules and regulations. Furthermore, you act as a subject matter expert responding to questions from the LoB and team regarding regulations, best practices and internal policies and procedures.
Strong Communication and Interpersonal Skills - Effectively Communicate and discuss compliance findings with internal partners which include subject matter experts from Compliance, Governance and Controls, Legal, Risk Management, Portfolio Management, Trading, Product Development, Marketing, Regulatory Reporting, and Operations.
Relationship Building - You will build and maintain positive working relationships with the LoBs, including Wealth Governance Teams, Legal, Risk, and Compliance partners and help develop and implement an appropriate regulatory compliance culture including processes and controls that are effective and cost-efficient that help achieve business objectives.
Strong Leadership - Work with the Compliance team to share knowledge and help implement changes to strengthen the Compliance Examinations Program. You provide a safe environment in which different opinions are welcomed.

Who You Are

You have completed a relevant undergraduate degree and studying towards relevant professional designations such as CFA, FRM, CIA and want to get a unique exposure to wealth management through the regulatory compliance perspective. You have academic knowledge of wealth management and you are looking to apply it.
You have wealth compliance examination or audit experience.
You have completed the Canadian Securities Course, and Conduct and Practices Handbook Course from the Canadian Securities Institute.
You can demonstrate experience in analyzing and understanding regulations, policies and procedures, and apply critical and strategic thinking to address issues and recommend value-added solutions.
You embrace and champion change. You'll continuously evolve your thinking and the way you work in order to deliver your best.
Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
You give meaning to data. You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful way.
Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.
Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.
We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com
You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.
We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location

Toronto-81 Bay, 31st Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice","hiringOrganization":{"@type":"Organization","name":"CIBC","sameAs":"https://www.cibc.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Toronto-81 Bay, 31st Floor, Canada","addressCountry":"Canada","addressRegion":"North America"}}}},{"@type":"ListItem","position":28,"item":{"@type":"JobPosting","title":"Compliance Officer - AFC & Compliance Testing","datePosted":"2025-08-14","description":"

Job Description:

Job Title: Compliance Officer - AFC & Compliance Testing

Corporate Title: Associate

Location: Pune, India

Role Description

The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm’s compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.
The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy,

Best in class leave policy.
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above

Your key responsibilities

Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.
Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.
Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.
Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.
Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.
Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.
Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.
Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.

Your skills and experience

The skills desired for this position include:

General knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
Knowledge of asset management related products and services (e.g., broker dealer, investment advisory, fixed income, and equities), particularly a bank-affiliated asset manager.
Experience in Compliance, Testing or Internal Audit functions within financial services.
Strong interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
Demonstrated strong analytical and investigative skills.
Demonstrated strong critical thinking skills including the ability to identify the root cause of issues.
Demonstrated ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.

Qualifications:

BA or BS Degree necessary.

How we’ll support you

Training and development to help you excel in your career.
Coaching and support from experts in your team.
A culture of continuous learning to aid progression.
A range of flexible benefits that you can tailor to suit your needs.

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.htm

We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots.

","hiringOrganization":{"@type":"Organization","name":"Deutsche Bank","sameAs":"https://www.db.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Pune - Business Bay, India","addressCountry":"India","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":29,"item":{"@type":"JobPosting","title":"Compliance Officer - AFC & Compliance Testing","datePosted":"2025-08-14","description":"

Job Description:

Job Title: Compliance Officer - AFC & Compliance Testing

Corporate Title: Associate

Location: Pune, India

Role Description

The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm’s compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.
The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy,

Best in class leave policy.
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above

Your key responsibilities

Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.
Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.
Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.
Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.
Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.
Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.
Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.
Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.

Your skills and experience

The skills desired for this position include:

General knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
Knowledge of asset management related products and services (e.g., broker dealer, investment advisory, fixed income, and equities), particularly a bank-affiliated asset manager.
Experience in Compliance, Testing or Internal Audit functions within financial services.
Strong interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
Demonstrated strong analytical and investigative skills.
Demonstrated strong critical thinking skills including the ability to identify the root cause of issues.
Demonstrated ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.

Qualifications:

BA or BS Degree necessary.

How we’ll support you

Training and development to help you excel in your career.
Coaching and support from experts in your team.
A culture of continuous learning to aid progression.
A range of flexible benefits that you can tailor to suit your needs.

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.htm

","hiringOrganization":{"@type":"Organization","name":"Deutsche Bank","sameAs":"https://www.db.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Pune - Business Bay, India","addressCountry":"India","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":30,"item":{"@type":"JobPosting","title":"Compliance Officer - AFC & Compliance Testing","datePosted":"2025-08-14","description":"

Job Description:

Job Title: Compliance Officer - AFC & Compliance Testing

Corporate Title: AVP

Location: Pune, India

Role Description

The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm’s compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.
The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy,

Best in class leave policy.
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above

Your key responsibilities

Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.
Support the development of testing modules and conduct testing across all DWS Americas business activities to evaluate adherence to regulatory requirements.
Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.
Support the development of a testing universe and review plan based on the results of the annual AFC and compliance risk assessment, in consultation with the Americas Head of AFC and Compliance Testing.
Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.
Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.
Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.
Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.
Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.
Meet with senior management in AFC and Compliance, lines of business, and other stakeholders to provide an overview of significant risks and control gaps.
Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.

Your skills and experience

The skills desired for this position include:

Demonstrated strong knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
Demonstrated strong knowledge of asset management related products and services (e.g., broker dealer, investment advisory, fixed income, and equities), particularly a bank-affiliated asset manager.
Experience in Compliance, Testing or Internal Audit functions within financial services.
Excellent interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
Demonstrated strong analytical and investigative skills.
Demonstrated strong critical thinking skills including the ability to identify the root cause of issues.
Demonstrated strong organizational and project management skills and diligence.
Demonstrated strong ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.

Qualifications:

BA or BS Degree necessary.
JD or MBA a plus.

How we’ll support you

Training and development to help you excel in your career.
Coaching and support from experts in your team.
A culture of continuous learning to aid progression.
A range of flexible benefits that you can tailor to suit your needs.

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.htm

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Job Description:

Job Title: Compliance Officer - AFC & Compliance Testing

Corporate Title: AVP

Location: Pune, India

Role Description

The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm’s compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.
The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy,

Best in class leave policy.
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above

Your key responsibilities

Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.
Support the development of testing modules and conduct testing across all DWS Americas business activities to evaluate adherence to regulatory requirements.
Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.
Support the development of a testing universe and review plan based on the results of the annual AFC and compliance risk assessment, in consultation with the Americas Head of AFC and Compliance Testing.
Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.
Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.
Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.
Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.
Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.
Meet with senior management in AFC and Compliance, lines of business, and other stakeholders to provide an overview of significant risks and control gaps.
Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.

Your skills and experience

The skills desired for this position include:

Demonstrated strong knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
Demonstrated strong knowledge of asset management related products and services (e.g., broker dealer, investment advisory, fixed income, and equities), particularly a bank-affiliated asset manager.
Experience in Compliance, Testing or Internal Audit functions within financial services.
Excellent interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
Demonstrated strong analytical and investigative skills.
Demonstrated strong critical thinking skills including the ability to identify the root cause of issues.
Demonstrated strong organizational and project management skills and diligence.
Demonstrated strong ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.

Qualifications:

BA or BS Degree necessary.
JD or MBA a plus.

How we’ll support you

Training and development to help you excel in your career.
Coaching and support from experts in your team.
A culture of continuous learning to aid progression.
A range of flexible benefits that you can tailor to suit your needs.

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.htm

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Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

Pay Details:

$86,840 - $139,360 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Compliance

Job Description:

Department Overview:

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

The Ideal Candidate

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can \"roll up their sleeves\", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

This position will support Compliance for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring. This role will execute monitoring, conduct regulatory research, support and provide objective guidance to assigned portfolio, business or function. This role will be largely focused on the on-going monitoring of consumer business lines which would require the following:

Ability to execute and enhance the Bank's monitoring program
Manages and/or perform independent compliance reviews of regulatory requirements impacting the products supported
Conducts regulatory research
Provides guidance, makes recommendations, and collaborates with business to facilitate compliant solutions that meet the business needs on a complex project or program

Please review Desired Skills & Experience below as you consider this opportunity. The above details are specific to the role which is outlined in the general description below.

Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.

Job Description Summary

The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.

Depth & Scope:

Works independently and is accountable for managing a specialized Compliance function or area
Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
Provides guidance and support to analysts on matters related to portfolio and specialty
Typically a subject matter expert for a key functional Compliance area and business
Contact for business management, dealing with non-routine information
Manages/assists with regulatory reviews including inquiries, audits, and exams
Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

Undergraduate degree or equivalent work experience
7+ years of experience

Desired Skills & Experience:

Previous experience with regulatory compliance for credit cards or residential loans
Previous audit, monitoring or testing experience

Customer Accountabilities:

Proactively advises the business of new and changed Compliance regulatory and/or policy changes
Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
Contributes to the development and implementation of Compliance programs
Guides partner through the development, implementation, oversight and management of effective Compliance Programs
Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
Represents Compliance on internal or external committees relating to designated business activities as required
Delivers relevant subject matter expertise and Compliance advice to business management
Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate

Shareholder Accountabilities:

Actively assists in developing Compliance Team procedures
Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
May provide review and content in the development of annual awareness training
Manages the risk assessment process for assigned businesses
Protects the interests of the organization, our customers and our communities – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Core Compliance

Core Compliance is a team within Global Compliance that is responsible for implementing and maintaining the firm's integrated regulatory compliance program, which includes risk assessments, regulatory change management, regulatory inventory management, policies, and training. The Regulatory Inventory Management (RIM) group in Core Compliance is responsible for identifying and monitoring regulatory changes that impact the firm’s inventory of global laws, rules and regulations and their corresponding regulatory compliance obligations.

Responsibilities and Qualifications

Core Compliance RIM is at the forefront of ensuring our firm’s compliance program is best in class. RIM’s key responsibilities are developing and implementing a program that:

Collaborates with the regulatory change management team to receive applicable regulatory updates (i.e. new and revised rule changes issued via proposed/final rules) issued by global regulators that may impact the firm’s regulatory inventory;
Reviews relevant regulatory updates for potential changes to the regulatory inventory;
Drafts/edits regulatory compliance obligations and publishes them in the inventory on or before their effective/compliance date;
Communicates relevant inventory additions/deletions to subject matter experts within the firm to determine impact(s) and implement changes in a timely manner; and
Tracks and reports the status of relevant regulatory inventory updates.

We are looking for someone who is analytical with a versatile mix of legal, compliance and/or business experience with a focus on regulatory identification, change and/or inventory management and implementation. The team member should be very comfortable reading and interpreting regulatory notices and changes from regulators globally, including but not limited to federal prudential regulators in the US, self-regulatory organizations, and exchanges.

Principal Responsibilities:

Assist with strategy for enhancing the regulatory inventory management program
Review and analyze regulatory change notices in multiple countries
Maintain and update the global regulations inventory, including drafting obligations
Communicate with stakeholders to understand relevance of regulatory updates and applicability to various business lines
Assist with end-to-end workflow of maintaining the regulatory inventory

Qualifications:

Bachelor's degree required
Law degree preferred
Minimum of 3 years’ experience in legal, compliance and/or risk management in the financial services industry
Extensive knowledge of global regulators and the RCM process preferred
Experience in utilizing or maintaining a repository of laws/rules/regulations and their corresponding obligations (e.g. GRC platform) preferred
Proven experience in managing change in a dynamic environment across multiple entities, businesses, functions and/or jurisdictions
Strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders
Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
Detail-oriented and able to produce quality work product, even when managing time-sensitive demands from competing stakeholders
Work independently and exercise strong judgment
MS Office proficiency; Advanced PowerPoint and Excel skills preferred

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

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At Talkspace, we are committed to fostering a diverse, equitable, inclusive, and belonging-centered workplace where everyone can thrive while making a difference in mental health. Want to help over two million people receive quality mental healthcare? Come join our mission of getting therapy in the hands of everyone!

We are looking for an experienced Compliance Auditor to join our risk team. The Compliance Auditor is responsible for conducting audits of regulatory and contractual compliance at the direction of the Chief Compliance Officer. This individual will work with the team on the execution of the annual compliance work plan and work closely with the compliance team to address information requests, track issues, and drive remediation strategies. To work at Talkspace, you need to be as passionate as we are about our work, and excited to partner with us on delivering quality mental healthcare.

This is a remote position based on Eastern Time. Talkspace Headquarters is located in NYC.

What You’ll Do

Internal Controls\n
- Conduct detailed audits of compliance concerns including medical records to ensure accuracy in coding and billing practices.
- Review documentation to identify and correct coding and billing errors, ensuring compliance with medical necessity and regulatory guidelines.
- Log and track audit results and documentation workflows.
- Analyze trends and discrepancies in coding and billing practices, providing actionable insights and recommendations for improvement.
- Collaborate with internal teams to improve documentation standards and ensure compliance with relevant regulations.
- Independently organize and prioritize audit tasks to meet deadlines, adjusting priorities as necessary.
- Participate in process improvement initiatives, team meetings, and department projects to enhance audit workflows and overall efficiency.
- Maintain up-to-date knowledge of medical coding standards, HIPAA regulations, and compliance requirements.
- Provide recommendations to management on improving coding accuracy, documentation standards, and operational processes.
\n
Reporting\n
- Deliver adequate and timely reporting on the internal control framework and control deficiencies to ensure appropriate communication, documentation, escalation to the compliance officer.
\n
Team Collaboration\n
- Cross functionally collaborate with department heads and build strong communication lines to maintain engagement with process implementation.
- Partner closely with Health Information Management and Quality Management teams to aid in audit efficiency and effectiveness, including the collection and delivery of information.
\n
Process Improvement\n
- Assist the Chief Compliance Officer, Risk with the development of the annual audit program.
\n
Performs other related duties as assigned.

About You

2+ years of relevant compliance auditing experience,
Bachelor’s degree in Health Information Management or related field
Professional Designation: CHC or willingness to obtain certification
Experience in evaluating compliance with laws and regulations
Proficiency in medical coding, billing practices and CMS requirements.
Strong analytical skills for identifying trends, addressing discrepancies, and proposing solutions.
Excellent organizational abilities to manage multiple audit tasks and meet deadlines.
Deep understanding of HIPAA regulations, confidentiality, and compliance requirements.
Ability to work both independently and collaboratively with cross-functional teams.
Strong process analysis, risk and control identification, negotiation and problem solving skills
Ability to build and maintain solid relationships across multiple levels of management including communicate with external auditors/consultants
Strong project management skills
Adaptive communication and change management skills
Experience in organizations that use cloud-based/SaaS business systems, build SaaS products, and use agile software development methodology
Ability and willingness to be hands-on and dive into details of processes and operations

Benefits

Comprehensive Medical, Dental and Vision plans coverage since day one
Pre-tax benefits: HSA/ FSA
401k Retirement Savings Program with matching up to 4%
Voluntary benefits including disability, basic life or pet insurance, etc.
Monthly Wellness Stipend to promote mental and physical self-care
Flexible PTO and Remote First Environment
Regular team events, including Wellness Workshops and Team Building Events
Free access to Talkspace products for you and one household member, as well as access to a friends and family discount!

Compensation

At Talkspace, we believe that pay transparency during the interview process is a critical part of diversity, equity, and inclusion. Our salary bands are based on internal and external compensation benchmarks, which we regularly evaluate to ensure we pay competitively.

The base salary range for this role is between $79,000 - $92,000. Within the salary bands, leveling corresponds to each candidate’s relevant experience, skills as assessed during the interview process, education, and applicable certifications.

Why Talkspace?

Talkspace is the world’s leading online therapy company, serving over 2 million users looking to begin their wellness journey through tele-health. According to the World Health Organization, close to 1 billion people worldwide live with a mental disorder, and on average more than 75% with mental, neurological, and substance use disorders receive no treatment for their condition at all. Additionally, one-third of the world’s population – 2 billion people – live in countries that spend less than 1% of their health budgets on mental health. Therapy is an universal need and it's our mission here to change the world by cultivating an intentional space for people to feel supported through quality care that is simple and accessible.

Combining our passion for innovation along with our desire to help others overcome the stigma behind “getting help,” we are transforming the way patients find the right care provider, making an otherwise impossible feat easily conquerable. Our network of licensed, accredited, and board-certified clinicians are increasing access to mental health for our members through a myriad of high quality therapy services: anytime and for a fraction of the price. Dedicated to our mission, we are looking for candidates that want to bring their talents into a diverse “for purpose” space. If you’re equally as passionate about making quality mental healthcare accessible to all then Talkspace is the right place for you!

EQUAL OPPORTUNITY EMPLOYER

Talkspace welcomes and celebrates talent from all backgrounds, perspectives, and walks of life to foster an innovative and diverse workforce. We encourage you to apply, even if you don’t meet every qualification or if your path has been nontraditional — such as not completing a formal degree program, taking a career break, or having a prior criminal record — if you believe you could make a great addition to this team. Come as you are and learn about the exciting opportunities on our team.

Individuals seeking employment at Talkspace are considered without regard to race, color, religious creed, sex, national origin, citizenship status, age, physical or mental disability, sexual orientation, marital, parental, veteran or military status, unfavorable military discharge, or any other status protected by applicable federal, state or local law.

How do we define Diversity, Equity, Inclusion, and Belonging at Talkspace?

Diversity

Diversity encompasses the unique attributes of our employees as individuals. We value and embrace the richness arising from their varied backgrounds, perspectives, and experiences, which include, but are not limited to, age, ability, ethnicity, gender, race, and cultural background.

Equity

Equity refers to a fair and impartial workplace, aiming to ensure equal growth and advancement opportunities for all employees. This involves amplifying underrepresented voices, addressing unconscious biases, and providing inclusive, culturally competent mental health care.

Inclusion

Inclusion signifies the practice of granting equal access to opportunities and resources for all employees, particularly those who might otherwise be excluded or marginalized. It ensures that everyone feels a sense of belonging, value, support, and respect as an individual.

Belonging

Belonging reflects the affinity and positive relationships that develop among employees from diverse backgrounds when businesses actively promote diversity, equity, and inclusion in the workplace.

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Description

At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.

Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.

Global Merchant & Network Services (GMNS) brings together American Express' merchant-and network related businesses to enable a sharp focus on using the power of our network to provide unique value to all our mutual customers. The organization manages the relationships with the millions of merchants around the world that accepts American Express and runs the company’s payment network and manages bank partnerships globally.

GMNS is looking for an experienced Director– Financial Crimes to lead a diverse team of high-performing professionals focused on ensuring risk and control management is embedded in the day-to-day operations of our organization. This first-line role will involve extensive collaboration with partners across business units, functional areas, and geographies. This role will lead the execution of financial crime risk management within the business unit and is accountable for ensuring the business maintains a strong control environment to prevent, detect, and respond to financial crimes—including anti-money laundering (AML), sanctions, fraud, and anti-bribery and corruption (ABC). The ideal candidate brings deep subject matter expertise and a pragmatic, partnership-driven approach to risk management.

Program Governance:

Support the development and maintenance of an overall 1st line of defense GMNS Financial Crime Risk Framework inclusive of risk appetite, monitoring metrics, minimum end-to-end control requirements and governance expectations.
Actively support the effective governance of 1st line Financial Crime risk for GMNS Business Units
Monitor developments in both Global Financial Crime Standards and regulatory requirements, and support the translation of these into business unit processes, procedures and controls.
Provide complete, accurate, and timely information to GFCC where escalations are required.
Controls & Issue Management:
Support the GMNS Business Units in the design and implementation of testable controls to mitigate risks for the relevant Business Units.
Support business units with the resolution of issues impacting Financial Crime Risk and advise on appropriate remediation solutions in line with financial crime, risk standards and risk appetite.

Advisory:

Monitor Industry developments and leverage these to inform pro-active actions within the GMNS business to support effective Financial Crime risk management.
Provide Financial Crime Risk consultation on new product initiatives, regulatory change, third party management and Risk Control Self-Assessment (RCSA).
Provide GFCC program with business details required to support execution of enterprise GFCC risk assessments
Act as a key escalation point for key Financial Crime risk decisions for GMNS Senior Management.

Key Responsibilities:

Serve as a key primary financial crime risk leader within the business, ensuring compliance with applicable laws, regulations, and internal poli
Design and implement financial crime risk frameworks and monitor execution of processes and controls across the business unit
Partner with front-office and operational leaders to integrate financial crime prevention into customer lifecycle processes (onboarding, monitoring, escalation, exit).
Conduct ongoing risk assessments and oversee issue management, including control testing and remediation of identified gaps.
Lead business readiness for regulatory examinations, audits, and independent reviews focused on financial crimes.
Consult with second line Global Financial Crimes Compliance (GFCC) teams to interpret regulatory guidance and ensure business alignment with enterprise standards.
Monitor key risk indicators (KRIs) and report financial crime risk trends and metrics to senior leadership.
Champion a strong risk culture by delivering targeted training and awareness initiatives across the business.
Lead or participate in investigations or events involving suspicious activity, sanctions exposure, or internal fraud.
Manage and mentor a small team (as applicable), driving accountability and performance excellence.

Qualifications:

Required:

7–10+ years of experience in financial crimes compliance, risk management, or business control roles within the financial services industry.
In-depth knowledge of BSA/AML, sanctions (OFAC), FCPA, and anti-fraud regulations and best practices.
Demonstrated experience working in a first line of defense or business-aligned control function.
Strong analytical and problem-solving capabilities with a hands-on, solutions-oriented mindset.

Preferred:

Advanced degree (MBA, JD, or similar). Bachelor’s degree in business, finance, law, or related field.
Professional certifications such as CAMS, CFE, CFCS, or equivalent.
Experience leading cross-functional initiatives or change management efforts in a complex organization.

Key Competencies:

Leadership
Risk assessment and control design expertise
Exceptional communication and stakeholder management skills
Strategic thinking with strong execution capabilities
Proven ability to operate in a matrixed, fast-paced environment

ORMCM

Minimum Qualifications

Salary Range: $130,000.00 to $205,000.00 annually + bonus + equity (if applicable) + benefits

The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we’ll consider your location, experience, and other job-related factors.

We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:

Competitive base salaries
Bonus incentives
6% Company Match on retirement savings plan
Free financial coaching and financial well-being support
Comprehensive medical, dental, vision, life insurance, and disability benefits
Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
Free and confidential counseling support through our Healthy Minds program
Career development and training opportunities

For a full list of Team Amex benefits, visit our Colleague Benefits Site.

American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.

We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.

US Job Seekers - Click to view the “Know Your Rights” poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: https://www.eeoc.gov/poster

Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

Job

Risk

Primary Location

US-New York-New York

Other Locations

US-Florida-Sunrise

Organization

A6820 - GMNS Control Management

Schedule

Full-timeJob Band 40Work Location Options Hybrid

Job Posting

Jul 18, 2025, 6:16:31 PM - Aug 2, 2025, 3:59:00 AM

Recruiter

Jennifer Sisk

Hiring Manager

Kamal Balubhai Bhatia","hiringOrganization":{"@type":"Organization","name":"American Express","sameAs":"https://www.americanexpress.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"US-New York-New York","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":36,"item":{"@type":"JobPosting","title":"Manager - Compliance","datePosted":"2025-07-19","description":"Manager - Compliance-25012803

Description

Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.

GMNS is seeking a highly motivated and knowledgeable First Line of Defense (1LOD) Financial Crimes Manager focused on ensuring risk and control management is embedded in the day-to-day operations of our organization. This first-line role will involve extensive collaboration with partners across business units, functional areas, and geographies. The role will lead the identification, assessment, and mitigation of financial crime risks—such as money laundering, fraud, bribery, and sanctions violations—within the business. This role serves as the first point of contact within the business for financial crimes risk matters and works in close coordination with compliance partners in the second line of defense to ensure adherence to all applicable laws and internal policies. Key responsibilities include the following:

Program Governance:

Support the development and maintenance of an overall 1st line of defense GMNS Financial Crime Risk Framework inclusive of risk appetite, monitoring metrics, minimum end-to-end control requirements and governance expectations.
Support the effective governance of 1st line Financial Crime risk for GMNS Business Units
Support the monitoring of developments in Global Financial Crime Standards and the translation of these into business unit processes, procedures and controls.
Support the provision of complete, accurate, and timely information to GFCC where escalations are required.
Controls & Issue Management
Support the GMNS Business Units in the design and implementation of testable controls to mitigate risks for the relevant Business Units.
Support business units with the resolution of issues impacting Financial Crime Risk and advise on appropriate remediation solutions in line with financial crime, risk standards and risk appetite.

Advisory:

Provide Financial Crime Risk consultation on new product initiatives, regulatory change, third party management and Risk Control Self-Assessment (RCSA).
Provide GFCC program with business details required to support execution of enterprise GFCC risk assessments
Act as a key escalation point for key Financial Crime risk decisions for GMNS Senior Management.

Key Responsibilities:

Develop and maintain financial crimes risk assessments and controls aligned with enterprise policy and regulatory expectations.
Partner with business leadership to embed financial crime risk management into day-to-day operations, new product development, and client onboarding.
Lead or support investigations of suspicious activity, coordinating with AML and fraud investigation teams.
Monitor and report on financial crimes risk indicators, emerging threats, and control effectiveness to business and risk leadership.
Escalate and remediate control issues or potential violations in partnership with compliance, legal, and audit functions.
Support internal and regulatory exams, audits, and inquiries related to financial crimes.
Coordinate financial crimes training and awareness programs for front-line staff.
Maintain detailed documentation and records to demonstrate compliance with regulatory and internal standards.

Qualifications:

Required:

3+ years of experience in AML, financial crimes compliance, fraud risk, or business risk roles within a financial institution.
Strong understanding of BSA/AML, OFAC, and anti-bribery and corruption regulations.
Proven ability to assess risk, implement controls, and collaborate across functions.

Preferred:

Bachelor’s degree in finance, criminal justice, business administration, or a related field.
CAMS, CFE, or similar professional certification.
Experience working in a first line of defense or business control function.
Familiarity with customer risk rating, transaction monitoring, and suspicious activity reporting processes.

Skills & Competencies:

Strong analytical and problem-solving skills.
Excellent written and verbal communication abilities.
Sound judgment and decision-making under pressure.
Ability to influence and educate business partners on risk concepts.
Skilled in project management and working in a matrixed organization.

ORMCM

Minimum Qualifications

Salary Range: $90,000.00 to $165,000.00 annually + bonus + benefits

The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we’ll consider your location, experience, and other job-related factors.

Competitive base salaries
Bonus incentives
6% Company Match on retirement savings plan
Free financial coaching and financial well-being support
Comprehensive medical, dental, vision, life insurance, and disability benefits
Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
Free and confidential counseling support through our Healthy Minds program
Career development and training opportunities

For a full list of Team Amex benefits, visit our Colleague Benefits Site.

Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.

Job

Risk

Primary Location

US-New York-New York

Other Locations

US-Florida-Sunrise

Organization

A6820 - GMNS Control Management

Schedule

Full-timeJob Band 35Work Location Options Hybrid

Job Posting

Jul 18, 2025, 6:36:01 PM - Aug 2, 2025, 3:59:00 AM

Recruiter

Jennifer Sisk

Hiring Manager

Kamal Balubhai Bhatia","hiringOrganization":{"@type":"Organization","name":"American Express","sameAs":"https://www.americanexpress.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"US-New York-New York","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":37,"item":{"@type":"JobPosting","title":"Compliance Manager","datePosted":"2025-07-18","description":"

Fairstead is a purpose-driven real estate firm dedicated to building sustainable communities across the country. Headquartered in New York, with offices in Colorado, Florida, and Washington DC, Fairstead owns a portfolio of more than 25,000 apartments across 28 states that includes 17,000 units under management. Fairstead’s commitment to communities is realized through a comprehensive platform that leverages in-house expertise in acquisitions, development, design and construction, asset management, and property management.

Fairstead’s primary mission is to provide high quality housing to all regardless of income, and to make our stakeholders feel “Right at Home.” We accomplish this through an empathetic and innovative approach, and by utilizing our interdisciplinary platform as an investor, developer, owner, and operator.

Fairstead’s Core Values: Innovation, Determination, Integrity, Humility, Empathy and Partnerships

Fairstead is seeking a Compliance Manager to join our on-site property management team. In this role, the Compliance Manager is responsible for maintaining compliance with the Housing Authority, executing effective annual administrative operating cycles, ensuring all requirements are completed, and liaising with the residents, housing authorities, and other stakeholders to maximize economic outcomes, and minimize operational risks.

- Offering $1000 immediate sign on bonus and an additional $2500 after 90 days.

RESPONSIBILITIES:

Oversee on-site compliance team, ensuring leases and reporting are completed on time for management and the housing authority.

Maintain vacancy list and housing authority waitlist.

Oversee preliminary completion of files to ensure they are compliant with the housing authority’s guidelines and standards.

Ensure the state monitoring databases are updated monthly as required.

Prequalify applicant income and screenings for vacant units.

Facilitate new and renewal lease signings.

Track, maintain, and notify the housing authority of all transfer inquiries and requests.

Ensure documentation/forms used by site staff is up to date and compliant with the housing authority.

Provides superior customer service to residents and prospective tenants by promptly responding to all incoming calls, messages, and emails in a professional, respectful manner.

Performs other duties assigned.

Benefits:

Generous employer contribution for Medical and Dental through United Healthcare.

Employer Paid Vision Plans.

Company Matched 401(k) Retirement Plan: 100% of the first 3%; 50% of the next 2%.

13+ paid Holidays.

15 days of PTO.

7 Sick days.

Employer Paid Life Insurance.

Flexible Spending Account.

Nationwide Pet Insurance.

Disability Insurance.

Laser Correction Discount.

Employee Discounts on appliances, apparel, and more.

QUALIFICATIONS:

Bachelor’s Degree required.

Two (2) years of affordable housing compliance experience with knowledge of affordable housing multifamily leasing and compliance.

TACC, COS, BOS, AHM, or other widely known affordable housing compliance certifications are preferred.

Excellent communication skills- written and oral.

Strong interpersonal skills, including experience managing people (in multiple locations preferred).

Extremely detail-oriented.

Able to thrive in a fast-paced environment with tight deadlines.

Proficient with Microsoft Office Suite, including advanced Excel functions.

Yardi experience (preferred) or ability to learn new software quickly.

Diversity in backgrounds and experiences is key to Fairstead’s success. Being an equal opportunity employer is a central tenet of our philosophy that shapes who we are and the communities we serve. Our goal is to ensure competitive total compensation that is commensurate with experience, location, and other market benchmarks.

\n\n

For information about how we use your personal information, including information submitted for career opportunities, please review our Privacy Policy at

\n\n\n

https://fairstead.com/privacy-policy/

","hiringOrganization":{"@type":"Organization","name":"Fairstead","sameAs":"https://fairstead.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Annapolis, Maryland, United States","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":38,"item":{"@type":"JobPosting","title":"Compliance Manager","datePosted":"2025-07-19","description":"

JOB SUMMARY

Supports and audits the execution of Marriott control environment processes throughout the hotel. Support departmental leaders as they work with and understand these processes. Performs auditing and accounting functions as needed to ensure standards are being met.

CANDIDATE PROFILE

Education and Experience

• 4-year bachelor's degree in Finance and Accounting; 1 year of experience in accounting, auditing, or a related professional area

CORE WORK ACTIVITIES

Managing Work, Projects, and Policies

• Coordinates and implements accounting work and projects as assigned.

• Upholds the policies and procedures outlined in the audit standards.

• Interacts with operations leaders to achieve control environment goals.

• Provides and leads training opportunities for department leaders.

• Coordinates implements and follows up on Accounting SOP audits for all areas of the property.

• Complies with Federal and State laws applying to fraud and collection procedures.

• Generates and provides accurate and timely results in the form of reports, presentations, etc.

• Analyzes information and evaluates results to choose the best solution and solve problems.

• Compiles, codes, categorizes, calculates, tabulates, audits, or verifies information or data.

• Verifies that audits are completed correctly and on time, in line with auditing procedures.

Maintaining Finance and Accounting Goals

• Achieves and exceeds goals including performance goals, budget goals, team goals, etc.

• Develops specific goals and plans to prioritize, organize, and accomplish your work.

• Submits reports in a timely manner, ensuring delivery deadlines.

• Verifies profits and losses are documented accurately.

• Maintains a strong accounting and operational control environment to safeguard assets.

• Completes month end audit related functions

• Provide direction and assistance to other organizational units regarding accounting and budgeting policies and procedures, and efficient control and utilization of financial resources.

Demonstrating and Applying Accounting Knowledge

• Demonstrates knowledge of all Marriott SOP’s

• Demonstrates knowledge of all Marriott Department Risk Assessment Tools

• Demonstrates knowledge of all Marriott Quarterly audit requirements

• Demonstrates knowledge of all Marriott SRA audit requirements

• Demonstrates knowledge of other job-relevant issues, products, systems, and processes.

• Keeps up-to-date technically and applying new knowledge to your job.

• Uses computers and computer systems (including hardware and software) to program, develop financial spreadsheets, set up functions, enter data, or process information.

• Uses relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.

Additional Responsibilities

• Provides information to supervisors and co-workers by telephone, in written form, e-mail, or in person.

• Demonstrates strong personal integrity.

• Demonstrates self-confidence, energy and enthusiasm.

• Manages group or interpersonal conflict effectively.

• Informs and/or updates the executives and the peers on relevant information in a timely manner.

• Manages time well and possesses strong organizational skills.

• Analyzes information and evaluating results to choose the best solution and solve problems.

• Maintains positive working relations with customers and department managers.

• Presents ideas, expectations and information in a concise well organized way.

\n\n\n \n\n

At Marriott International, we are dedicated to being an equal opportunity employer, welcoming all and providing access to opportunity. We actively foster an environment where the unique backgrounds of our associates are valued and celebrated. Our greatest strength lies in the rich blend of culture, talent, and experiences of our associates. We are committed to non-discrimination on any protected basis, including disability, veteran status, or other basis protected by applicable law.

","hiringOrganization":{"@type":"Organization","name":"Marriott International","sameAs":"https://www.marriott.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"India","addressCountry":"India","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":39,"item":{"@type":"JobPosting","title":"Compliance Specialist","datePosted":"2025-07-18","description":"

About Spark Advisors

\n\n

We’re Spark, a mission-driven company helping independent Medicare brokers build the insurance business of their dreams. The vast majority of beneficiaries select benefits with the help of an independent broker, but technology and support for brokers is woefully antiquated. We provide workflows and services to help brokers achieve transformative growth.

In just five years, we’ve partnered with over 6,000 brokers and enrolled over 140,000 beneficiaries, making us the fastest-growing Medicare brokerage in the country. Brokers love us: during this period of intense growth, we’ve maintained an NPS of 91 and a client retention rate of 93%, and we’ve helped brokers grow on average >100% since partnering with us.

It’s an exciting time to be at Spark. Our diverse, remote-first team comes from leading technology, healthcare, and insurance companies, and has grown from 70 to 90 in the last year. Most recently, we’ve raised a Series B from leading investors who share our ambition.

Join us: we’re always on the lookout for sharp, talented, empathetic teammates.

Summary

Spark is hiring a Compliance Specialist responsible for ensuring agent and agency compliance with CMS regulations while supporting business growth through comprehensive monitoring, training, and quality assurance programs. You will lead our enhanced compliance monitoring system, conduct regular assessments of agent performance, and provide targeted remediation support to ensure all agents maintain high standards of regulatory compliance. This role combines traditional compliance support (marketing materials, carrier audits) with proactive quality assurance through our tiered monitoring system and data-driven performance analysis.

The position will report to the Medicare Training & Compliance Supervisor and partner closely across our Platform, Contracting, Finance, and Sales teams to maintain the highest standards of compliance across our agent network.

What You'll Do

Compliance Monitoring & Quality Assurance (50%)

Conduct regular compliance assessments of agents and agencies using our tiered monitoring system
Monitor CTM/allegations rates and identify agents requiring enhanced oversight or remediation
Perform quality assurance reviews of agent activities, including enrollment processes, customer interactions, and documentation
Manage tier assignments and progression through our compliance monitoring framework
Develop and implement corrective action plans for non-compliant agents and agencies
Track and analyze compliance metrics to identify trends and proactive intervention opportunities
Conduct compliance audits and investigations as needed

Agent Support & Remediation (30%)

Assist agents and agencies with carrier compliance audits and provide audit preparation support
Provide expert guidance on advanced Medicare and compliance-related questions
Support agents in navigating carrier portals through self-service guides and direct assistance
Deliver targeted remediation training for agents in higher compliance tiers
Conduct one-on-one coaching sessions with agents requiring performance improvement
Facilitate compliance touchpoints and regular check-ins with flagged agencies

Marketing Materials & CMS Compliance (10%)

Review and approve agent marketing materials ensuring adherence to CMS guidelines
Process marketing materials through CMS approval workflows and maintain approval tracking
Provide guidance on compliant marketing practices and help agents develop effective, compliant promotional strategies
Monitor marketing compliance through ongoing quality assurance reviews
Maintain current knowledge of CMS marketing and advertising regulations

Training & Education (10%)

Support the development of Medicare training programs by contributing research, content suggestions, and compliance insights
Deliver targeted remediation and one-on-one coaching for agents identified through performance monitoring or compliance concerns
Assist in preparing materials and logistics for live training sessions and webinars, including presentation support and follow-up documentation
Create or revise training documentation for accuracy and clarity, especially for compliance-focused topics
Maintain records of agent training participation, track completion metrics, and flag gaps for follow-up

What We're Looking For

Required Experience & Skills

3+ years of experience in Medicare compliance, health insurance regulation, or related field
Proven experience training health agents and/or beneficiaries on Medicare topics
Strong analytical skills with experience in data analysis and performance monitoring
Experience with quality assurance programs and compliance monitoring systems
Knowledge of CMS regulations, including marketing guidelines, enrollment processes, and complaint handling
Excellent written and verbal communication skills with ability to explain complex regulations clearly

Technical & Process Skills

Proficiency with data analysis tools (Excel, Airtable, or similar platforms)
Experience with compliance tracking systems and performance metrics
Strong attention to detail and ability to follow complex processes consistently
Project management skills with ability to manage multiple compliance cases simultaneously
Experience conducting assessments and developing improvement plans

Personal Attributes

Passionate about regulatory compliance and staying current with Medicare changes
Enjoys problem-solving and helping agents overcome compliance challenges
Comfortable with virtual presentations and training delivery to large audiences
Collaborative approach with ability to work across multiple teams
Adaptable and flexible in a fast-paced, evolving regulatory environment
Strong ethical standards and commitment to maintaining compliance integrity

Compensation

Our salary ranges are based on paying competitively for our company’s size and industry, and are one part of the total compensation package that also includes equity, benefits, and other opportunities at Spark. In accordance with New York City, Colorado, California, and other applicable laws, Spark is required to provide a reasonable estimate of the compensation range for this role. Individual pay decisions are ultimately based on a number of factors, including qualifications for the role, experience level, skillset, geography, and balancing internal equity. A reasonable estimate of the current salary range is listed below. We expect most candidates to fall in the middle of the range. We also believe that your personal needs and preferences should be taken into consideration, so we allow some choice between equity and cash.

Base Salary$70,000—$85,000 USD\n\n\n\n\n

Why you should join our team

By joining Spark, you will get in on the ground floor of a fast-moving, well-funded, and mission-driven startup where you will have a profound impact on the brokers and beneficiaries we serve. And you'll learn, grow, be challenged, and have fun with your team while doing it.

We strive to help you and your family thrive. We're committed to supporting your happiness, healthiness, and overall well-being by providing a comprehensive benefits program. In addition to your base salary, we also offer:

Equity compensation
Health care, including dental and vision through our PEO Sequoia
Flexible work location; co-working available
401k
Paid Time Off
Monthly Remote Work Stipend (help cover costs of home-office needs)
Paid Parental Leave
Up to 12 weeks for birthing parents
Up to 8 weeks for non-birth parents
11 paid holidays
2 week sabbatical at 5 years of employment
Wellbeing Perks through SpringHealth, OneMedical, PerkSpot, and SoFi

Compliance

Spark is a proud participant in E-Verify. As part of our commitment to compliance, we use the E-Verify program to confirm the employment eligibility of all employees working in the United States. For more information about E-Verify, please visit www.e-verify.gov.

Furthermore, for security and compliance requirements, we’re unable to accommodate international remote work. While we fully support travel and time off, all work must be conducted from an approved location within the U.S.

At Spark, we are committed to hiring the best team to serve our clients regardless of their background. We need diverse perspectives to reflect the diversity of our problems and the population we serve. We look to hire people from a variety of backgrounds, including, but not limited to, race, age, sexual orientation, gender identity and expression, national origin, religion, disability, and veteran status.

","hiringOrganization":{"@type":"Organization","name":"Spark","sameAs":"https://www.sparkadvisors.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Remote"}}}},{"@type":"ListItem","position":40,"item":{"@type":"JobPosting","title":"Compliance Analyst","datePosted":"2025-07-18","description":"

Description

Are you someone who has experience within a regulatory compliance or legal role?

At Portfolio, we pride ourselves on our responsive, innovative, efficient, and sincere serving standards (R.I.S.E).

We are seeking dedicated professionals who are passionate about delivering exceptional service and making a difference.

In addition to offering a hybrid work schedule after training, Portfolio offers a comprehensive benefits package:

Paid Company Holidays
Paid Time Off, including Flex Time (40 Hours of additional Paid Time Off) and Volunteer Time.
Health/Dental, Visions Insurance
Life Insurance & Short-Term Disability
Tuition Reimbursement
Referral Bonus
401(k)
Monthly Associate Breakfasts
Reputation Management Program – Monetary Prizes for Positive Online Reviews
Additional associate perks

If you're ready to be part of a dynamic team that values integrity and excellence, apply today! Join Our Team at Portfolio!

As a Compliance Analyst, you'll play a crucial role in protecting the interests of the administration company by following the guidelines of each contract Portfolio administers while providing knowledge to the customers and dealers.

* Licensing and Corporate Governance experience or exposure is ideal. Strong business writing and analysis skills preferred. Applicants with relevant experience and exposure will be considered for interview.*

Compensation:

Starting range of pay: $77K - $92K annually, depending on experience. Comprehensive Benefits Package!

Work Schedule:

Schedule: Monday-Friday: 8:00 am- 5:00 pm PST.
Hybrid Opportunity following 90 days in office training: Required to work at the office 2 days per week (flexibility on days) at our Lake Forest, CA office location. Based on performance.

Job Summary & Objective:

At this time, a Compliance Analyst is needed to assist with company licensing, conducting compliance reviews, and filing the company’s consumer forms, helping ensure the company's compliance with applicable federal and state regulations.

*Ideal candidates must have 2-4 years of experience in a legal or compliance position.

Essential Functions:

Oversee licensing for the company, which includes certificates of authority, property and casualty licenses, vehicle service contracts, vehicle protection product provider licenses, and captive insurance. Also assist in the maintenance of licenses involving company changes and acquisitions.
Manage compliance of consumer forms, including reviewing forms for compliance utilizing state statutes and checklists, independently researching regulatory code to confirm to requirements, filing forms with state regulators and lenders, handling objections, managing regulatory and lender form changes, and distributing information regarding the use of consumer forms to other internal departments.
Serve as primary point of contact for incoming regulatory compliance inquiries and issues, escalating such inquiries and issues within the Legal and Compliance Department as necessary to achieve optimal resolution.
Research and maintain knowledge of federal and state regulations as well as commonly accepted industry practices relating to the company’s products and services. Research and implement all lender approval processes into the organization. Involves understanding of requirements, communication with the field, and implementation of procedures for approval.
Manage the organization and issuance of contractual liability insurance policies by insurers.
Manage projects to completion as assigned by the Director of Legal and Compliance. Provide consistent updates to the manager on status and expected completion.
Assist in competitive product reviews and new product development, communicate changes in regulations and industry practices, and developments, and changes affecting the company’s existing products and services.
Issue Resolution - Investigate, analyze, and recommend action on all issues, internal and external. Support internal and external clients with immediate attention to resolve issues. Provide ongoing updates on status and resolution.
Other duties as assigned.

Requirements

Education and Qualification Requirements:

Bachelor’s Degree preferred. Associate degree and/or 2-4 years of experience in a legal or compliance role required.
High proficiency in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.
Fluency and integrity with handling of confidential and sensitive information.
Strong time-management and organizational skills with the ability to multitask, consistently meet deadlines, and prioritize effectively.
Ability to work independently and exercise sound judgment when escalating issues for review.
Ability to adapt quickly to change and deliver quality results in a timely manner.
Work effectively in a remote team environment.

Preferred Requirements:

Exceptional communication skills, both verbal and written
Demonstrate the ability to use tact and diplomacy when dealing with internal and external parties
Well organized
Goal detailed
Self-motivated
Ability to work in a team setting
Notary Public preferred

Work Environment and Physical Requirements:

Normal office environment.
Ability to grasp objects such as a telephone or computer mouse, finger dexterity to use a keyboard, calculator, and standard office equipment.
Ability to walk, stand, reach with hands and arms; stoop, kneel, crouch, and lift up to 20 pounds.
Ability to frequently sit for long periods of time.
Ability to hear and talk, both in person and by phone.
Ability to spend extended hours in front of a computer screen and use close vision, distant vision, and depth perception.

","hiringOrganization":{"@type":"Organization","name":"Portfolio","sameAs":"https://us.portfolioco.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Lake Forest, CA, US","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":41,"item":{"@type":"JobPosting","title":"Compliance Analyst","datePosted":"2025-07-18","description":"

Description

Are you someone who has experience within a regulatory compliance or legal role?

At Portfolio, we pride ourselves on our responsive, innovative, efficient, and sincere serving standards (R.I.S.E).

We are seeking dedicated professionals who are passionate about delivering exceptional service and making a difference.

In addition to offering a hybrid work schedule after training, Portfolio offers a comprehensive benefits package:

Paid Company Holidays
Paid Time Off, including Flex Time (40 Hours of additional Paid Time Off) and Volunteer Time.
Health/Dental, Visions Insurance
Life Insurance & Short-Term Disability
Tuition Reimbursement
Referral Bonus
401(k)
Monthly Associate Breakfasts
Reputation Management Program – Monetary Prizes for Positive Online Reviews
Additional associate perks

If you're ready to be part of a dynamic team that values integrity and excellence, apply today! Join Our Team at Portfolio!

Compensation:

Starting range of pay: $61K - $76K annually, depending on experience. Comprehensive Benefits Package!

Work Schedule:

Schedule: Monday-Friday: 8:00 am- 5:00 pm EST.
Hybrid Opportunity following 90 days in office training: Required to work at the office 2 days per week (flexibility on days) at our Strongsville, OH office location. Based on performance.

Job Summary & Objective:

*Ideal candidates must have 2-4 years of experience in a legal or compliance position.

Essential Functions:

Oversee licensing for the company, which includes certificates of authority, property and casualty licenses, vehicle service contracts, vehicle protection product provider licenses, and captive insurance. Also assist in the maintenance of licenses involving company changes and acquisitions.
Manage compliance of consumer forms, including reviewing forms for compliance utilizing state statutes and checklists, independently researching regulatory code to confirm to requirements, filing forms with state regulators and lenders, handling objections, managing regulatory and lender form changes, and distributing information regarding the use of consumer forms to other internal departments.
Serve as primary point of contact for incoming regulatory compliance inquiries and issues, escalating such inquiries and issues within the Legal and Compliance Department as necessary to achieve optimal resolution.
Research and maintain knowledge of federal and state regulations as well as commonly accepted industry practices relating to the company’s products and services. Research and implement all lender approval processes into the organization. Involves understanding of requirements, communication with the field, and implementation of procedures for approval.
Manage the organization and issuance of contractual liability insurance policies by insurers.
Manage projects to completion as assigned by the Director of Legal and Compliance. Provide consistent updates to the manager on status and expected completion.
Assist in competitive product reviews and new product development, communicate changes in regulations and industry practices, and developments, and changes affecting the company’s existing products and services.
Issue Resolution - Investigate, analyze, and recommend action on all issues, internal and external. Support internal and external clients with immediate attention to resolve issues. Provide ongoing updates on status and resolution.
Other duties as assigned.

Requirements

Education and Qualification Requirements:

Bachelor’s Degree preferred. Associate degree and/or 2-4 years of experience in a legal or compliance role required.
High proficiency in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.
Fluency and integrity with handling of confidential and sensitive information.
Strong time-management and organizational skills with the ability to multitask, consistently meet deadlines, and prioritize effectively.
Ability to work independently and exercise sound judgment when escalating issues for review.
Ability to adapt quickly to change and deliver quality results in a timely manner.
Work effectively in a remote team environment.

Preferred Requirements:

Exceptional communication skills, both verbal and written
Demonstrate the ability to use tact and diplomacy when dealing with internal and external parties
Well organized
Goal detailed
Self-motivated
Ability to work in a team setting
Notary Public preferred

Work Environment and Physical Requirements:

Normal office environment.
Ability to grasp objects such as a telephone or computer mouse, finger dexterity to use a keyboard, calculator, and standard office equipment.
Ability to walk, stand, reach with hands and arms; stoop, kneel, crouch, and lift up to 20 pounds.
Ability to frequently sit for long periods of time.
Ability to hear and talk, both in person and by phone.
Ability to spend extended hours in front of a computer screen and use close vision, distant vision, and depth perception.

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Description

Are you someone who has experience within a regulatory compliance or legal role?

At Portfolio, we pride ourselves on our responsive, innovative, efficient, and sincere serving standards (R.I.S.E).

We are seeking dedicated professionals who are passionate about delivering exceptional service and making a difference.

In addition to offering a hybrid work schedule after training, Portfolio offers a comprehensive benefits package:

Paid Company Holidays
Paid Time Off, including Flex Time (40 Hours of additional Paid Time Off) and Volunteer Time.
Health/Dental, Visions Insurance
Life Insurance & Short-Term Disability
Tuition Reimbursement
Referral Bonus
401(k)
Monthly Associate Breakfasts
Reputation Management Program – Monetary Prizes for Positive Online Reviews
Additional associate perks

If you're ready to be part of a dynamic team that values integrity and excellence, apply today! Join Our Team at Portfolio!

Compensation:

Starting range of pay: $71K - $86K annually, depending on experience. Comprehensive Benefits Package!

Work Schedule:

Schedule: Monday-Friday: 8:00 am- 5:00 pm CST.
Hybrid Opportunity following 90 days in office training: Required to work at the office 2 days per week (flexibility on days) at our Farmers Branch, TX office location. Based on performance.

Job Summary & Objective:

*Ideal candidates must have 2-4 years of experience in a legal or compliance position.

Essential Functions:

Oversee licensing for the company, which includes certificates of authority, property and casualty licenses, vehicle service contracts, vehicle protection product provider licenses, and captive insurance. Also assist in the maintenance of licenses involving company changes and acquisitions.
Manage compliance of consumer forms, including reviewing forms for compliance utilizing state statutes and checklists, independently researching regulatory code to confirm to requirements, filing forms with state regulators and lenders, handling objections, managing regulatory and lender form changes, and distributing information regarding the use of consumer forms to other internal departments.
Serve as primary point of contact for incoming regulatory compliance inquiries and issues, escalating such inquiries and issues within the Legal and Compliance Department as necessary to achieve optimal resolution.
Research and maintain knowledge of federal and state regulations as well as commonly accepted industry practices relating to the company’s products and services. Research and implement all lender approval processes into the organization. Involves understanding of requirements, communication with the field, and implementation of procedures for approval.
Manage the organization and issuance of contractual liability insurance policies by insurers.
Manage projects to completion as assigned by the Director of Legal and Compliance. Provide consistent updates to the manager on status and expected completion.
Assist in competitive product reviews and new product development, communicate changes in regulations and industry practices, and developments, and changes affecting the company’s existing products and services.
Issue Resolution - Investigate, analyze, and recommend action on all issues, internal and external. Support internal and external clients with immediate attention to resolve issues. Provide ongoing updates on status and resolution.
Other duties as assigned.

Requirements

Education and Qualification Requirements:

Bachelor’s Degree preferred. Associate degree and/or 2-4 years of experience in a legal or compliance role required.
High proficiency in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.
Fluency and integrity with handling of confidential and sensitive information.
Strong time-management and organizational skills with the ability to multitask, consistently meet deadlines, and prioritize effectively.
Ability to work independently and exercise sound judgment when escalating issues for review.
Ability to adapt quickly to change and deliver quality results in a timely manner.
Work effectively in a remote team environment.

Preferred Requirements:

Exceptional communication skills, both verbal and written
Demonstrate the ability to use tact and diplomacy when dealing with internal and external parties
Well organized
Goal detailed
Self-motivated
Ability to work in a team setting
Notary Public preferred

Work Environment and Physical Requirements:

Normal office environment.
Ability to grasp objects such as a telephone or computer mouse, finger dexterity to use a keyboard, calculator, and standard office equipment.
Ability to walk, stand, reach with hands and arms; stoop, kneel, crouch, and lift up to 20 pounds.
Ability to frequently sit for long periods of time.
Ability to hear and talk, both in person and by phone.
Ability to spend extended hours in front of a computer screen and use close vision, distant vision, and depth perception.

","hiringOrganization":{"@type":"Organization","name":"Portfolio","sameAs":"https://us.portfolioco.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Farmers Branch, TX, US","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":43,"item":{"@type":"JobPosting","title":"Compliance Officer","datePosted":"2025-07-16","description":"

At Ayvens, progress starts with you.

Our ambitions to shape the future of sustainable mobility are powered by our talent. Join us, and get better with every move.

Why Ayvens?

With over 3.4 million vehicles managed across more than 42 countries, we provide full-service leasing, flexible subscription services, fleet management services and multi-mobility solutions to customers of all sizes, including large corporates, SMEs, professionals, and private individuals. By leveraging our unique position to lead the way to net zero and further shape the digital transformation of the industry, we are well-positioned to meet the evolving mobility needs of our clients and provide them with the solutions they need to thrive.

At Ayvens, we believe that our success is driven by our commitment to customer satisfaction. Our team is dedicated to delivering innovative solutions and technology-enabled services that help our customers focus on their everyday business. We’re committed to sustainable mobility and have made it a core part of our strategy. In everything we do, we’re guided by the principles of authenticity, curiosity, commitment and collaboration. We aim to foster an organisation that's diverse in people and ideas, where everyone can thrive and be themselves, no matter who they are.

Join us on this exciting journey as we continue to enable the transformation towards large scale adoption of sustainable mobility and provide our customers with the solutions they need to succeed. Follow our page for the latest updates, news, and insights.

*ALD Automotive | LeasePlan are rebranding to Ayvens across all 42 countries by 2025.

","hiringOrganization":{"@type":"Organization","name":"Ayvens","sameAs":"https://www.ayvens.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Bucharest, Romania","addressCountry":"Romania","addressRegion":"Europe"}}}},{"@type":"ListItem","position":44,"item":{"@type":"JobPosting","title":"Compliance Specialist","datePosted":"2025-07-16","description":"

At Ayvens, progress starts with you.

Our ambitions to shape the future of sustainable mobility are powered by our talent. Join us, and get better with every move.

Job Summary:

The Compliance Specialist will be part of the Ayvens Turkey Risk team. She / he is a curious, effective communicator with an enthusiasm for knowledge and continues learning. The ideal incumbent is analytical and able to relate with multiple stakeholders. We welcome compliance professionals with maximum two years of experience.

Qualifications:

A bachelor’s degree in business administration, economics, law or engineering is preferred
Excellent command of both written and spoken English
Strong MS Office applications skills (Word, Excel, PowerPoint)
Analytical mindset with quantitative data research and sampling abilities
Effective planning and time management skills
Ability to work independently whilst contributing to the priorities of the team and the businesses

The successful candidate will:

Conducting and approving compliance risk analysis processes (KYS/KYC/KYP) of all third parties escalated to Compliance
Handling alerts for the third parties in the databases.
Ensuring local compliance with legislation in coordination with the head office on issues such as Money Laundering, Combating Corruption, Gifts, Business meals and Events, Sponsorship and Donations
Execution of periodic control tests
Granting Compliance unit approvals for gift, hospitality, donation and event procedures.
Managing Privacy data subject request process
Ensuring that Mandatory Group trainings are defined for the correct target audience, monitoring and reporting training completion rates
Evaluating Privacy and KVKK risks/clauses in all activities and contracts in coordination with the Legal team
Managing and coordinating Group policy implementation process within the entity
Preparation of quarterly Risk Committee and periodic reporting inputs.

Why Ayvens?

*ALD Automotive | LeasePlan are rebranding to Ayvens across all 42 countries by 2025.

","hiringOrganization":{"@type":"Organization","name":"Ayvens","sameAs":"https://www.ayvens.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"İstanbul European, Türkiye","addressCountry":"Turkey","addressRegion":"Middle East"}}}},{"@type":"ListItem","position":45,"item":{"@type":"JobPosting","title":"Compliance Optimiser","datePosted":"2025-07-16","description":"

Compliance Optimiser

Hello! Thanks for stopping by. Let us tell you about all the great reasons to join us here at Yorkshire Water:

We offer a competitive salary (salary 4b) from £41,920 to £52,400 depending on experience.
Annual incentive related bonus (£1000 maximum bonus opportunity for the performance year).
Company Car through company car lease scheme.
Attractive pension scheme (up to 12% company contribution)
Development opportunities in line with the Compliance Optimiser progression plan
25 days annual leave plus bank holidays – plus an extra wellness day!
Life assurance cover of 4 times pensionable salary
A great benefits package – choose from health cash plan scheme, critical illness insurance, dental insurance, life assurance flex and partner cover.
Retail savings scheme
Online GP service, cycle to work scheme, gym membership discounts and many more!

Location: We have an opportunity for a Compliance Optimiser to join the Energy & Recycling Team at Yorkshire Water and be a part of helping Yorkshire Water to provide the best service to our customers. Could this be you? The roles we be covering South Yorkshire.

Work type: Permanent. 37 hours per week, Monday – Friday.

What we do:

Everyone has an idea of what a water company does. Here in Yorkshire, we make sure that over 5.4 million people living in the region and the millions of people who visit our region each year, can rely on our services, and have clean and safe drinking water on tap and that their wastewater is taken away. But for us, it’s so much more than this.

We look after communities, protect the environment, and plan to look after Yorkshire’s water, today, tomorrow 24/7, 365 days a year. We provide essential water and wastewater services to every corner of the Yorkshire region, and play a key role in the region’s health, wellbeing, and prosperity.

New environmental legislation, unprecedented levels of investment and changing expectations from customers means that this is an exciting time to discover opportunities within the water industry. The Energy & Recycling Team are a key part of how we plan to meet the changing expectations of customers and regulators.

Where you fit in:

As our Compliance Optimiser you will support the waste services manager in ensuring YW are compliant with all permitting requirements across the permitted imported waste Asset base.
To manage compliance of WTNS and other waste related documentation.
To ensure delivery of routine and investigational samples in relation to imported waste services

What skills & qualifications you will need:

To have a strong service mentality – understands the importance and benefits of providing both internal and external customers and colleagues with an exceptionally high level of helpful and attentive service.
Ability to deal with sampling resource allocation whilst maintaining 100% compliance on sampling.
Experience of working to Health and Safety Management Systems.
Experience of day-to-day operations to comply with permit conditions
Experience of complying with the law and government policies associated with waste management and the water industry as a whole
Strong Workload Prioritisation skills
Experience of understanding where your role fits within a business plan and then developing ways to deliver the outputs.
Full valid UK Driving Licence (No more than 6 points)
Experience of adhering to and implementing Health and Safety procedures to ensure that the working environment is practical for both you and others.
Experience of escalating Health and Safety concerns / breaches to ensure they are appropriately investigated, and necessary action is taken

You will also benefit from having:

WAMITAB qualified as a TCM or be willing to work towards the qualification.
Strong understanding of the waste management industry and current Environmental Agency legislation
Previous experience in a commercially orientated and / or regulated environment.
Previous experience of dealing with liquid waste
Strong communication and interpersonal skills, with the ability to liaise with customers and colleagues effectively
Proficiency in Microsoft Office and general IT skills
Experience in undertaking audits and initiating actions to assure timely resolution of identified hazards & improvements.
Previous experience of undertaking WM3 Waste classification and assessment

Although we operate 24 hours a day, 365 days a year, it’s important to us that we support flexible working patterns and job share options (when we can), to help you make the best of both your work and home life. We know that juggling childcare responsibilities or getting that ideal work/life balance isn’t always easy!

Do we sound like your cup of tea?  

If you’ve got experience in compliance optimisation and want to help us deliver great service for our customers whilst looking after the environment, then be sure to apply today to find out what a career with Yorkshire Water can offer you.  

Closing Date: 5th August

Interviews: TBC

If successful for the role, you will be required to undergo pre-employment checks that will include a Basic Disclosure Check, carried out through a Third-Party Company, prior to commencing employment. Depending on the role, you may also be required to go through the security vetting process for either a Counter Terrorist Check or Security Check clearance.

All our roles are subject to a medical questionnaire, and further medicals when required.

We are committed to removing barriers and ensuring our recruitment process is accessible to everyone. We offer a range of adjustments to make your application experience as comfortable and straightforward as possible.

If you have an accessibility need, disability, or condition that requires changes to the recruitment process, please include this information in your application. We will then discuss any reasonable adjustments required.

Kelda Group reserve the right to close this position before the published closing date, should the need occur. We therefore advise that you complete and submit your application as soon as possible.

","hiringOrganization":{"@type":"Organization","name":"Yorkshire Water","sameAs":"https://www.yorkshirewater.com"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"South Yorkshire, GB","addressCountry":"United Kingdom","addressRegion":"Europe"}}}},{"@type":"ListItem","position":46,"item":{"@type":"JobPosting","title":"Compliance Manager","datePosted":"2025-07-15","description":"

Business Unit:

Compliance, Risk and Internal Audit

Salary Range:

$125,000 USD - $152,000 USD

Specific compensation will be based on candidate’s experience, skills, qualifications, commercial considerations, and other job-related factors permitted by law. At Russell Investments, salary is just one part of our compensation package. Our total rewards approach includes an annual performance bonus (subject to eligibility criteria) in addition to participation in our competitive benefits programs including healthcare, retirement, vacation, and wellbeing programs.

Job Description:

We are currently seeking an experienced compliance professional to support Russell Investments institutional businesses, Funds subject to the requirements of the Employee Retirement Income Security Act of 1974 (“ERISA”) and U.S. registered investment company compliance programs. Experience working with funds or separate accounts subject to ERISA is a plus. Reporting to the Funds Chief Compliance Officer, you will be responsible for a wide variety of compliance matters, working collaboratively with other compliance staff in the global compliance department and directly with clients. You will be focused on supporting all aspects of our growing institutional asset management funds business, including support of compliance programs, policy and procedure reviews and testing of certain identified controls under the compliance programs. You will be responsible for ensuring client reviews are completed for identification purposes and anti-money laundering (“AML”) requirements. As an AML officer, you will be the primary person supporting all of Russell Investments’ U.S. AML programs. You will also be responsible for the preparation and presentation of certain board or board committee materials and assist in new and ongoing product development.

You are a competitive candidate if you have strong communication skills and the ability to work effectively with various departments within our company, such as product development, legal, marketing, sales and operations. You are also effective working with external partners, including fund administrators, transfer agents and other vendors associated with the funds. Finally, you have a growth mindset and are skilled at taking a complex set of problems and creating simple solutions. We value collaboration and diverse perspectives and encourage applications from individuals of all backgrounds.

Core Responsibilities:

Fund Compliance Program Support

Provide compliance support to the compliance programs covering funds and separate accounts.
Conduct oversight and testing of the written policies and procedures of the Russell Investments Trust Company (“RITC”), a Washington State Chartered non-depository bank, and various service providers (including sub-advisers).
Conduct oversight and independent testing of the written policies and procedures of various service providers (including sub-advisers) to Funds and client separate accounts.
Support the development and launch of new funds by reviewing fund governing documentation and updates.
Assist in the onboarding of new clients, client reviews associated with applicable Anti-Money Laundering requirements and ongoing reviews as required by applicable procedures.
Assist the Chief Compliance Officer in ensuring the compliance programs are maintained and implemented effectively.

U.S. Compliance

Partner with legal teams on regulatory change projects and maintain up-to-date regulatory knowledge. Monitor and interpret regulatory developments affecting clients of Russell Investments including ERISA funds and accounts and U.S. mutual funds, including ETFs, advising on necessary changes to business practices, policies and procedures.
Support and/or manage responses to regulatory authorities (e.g., Department of Labor, Washington State Division of Financial Institutions, SEC, CFTC, FINRA) to address regulatory inquiries and filings.
Provide leadership and support of Russell Investments’ U.S. Anti-Money Laundering programs.
Participate in board reporting responsibilities for various Funds covered by the US Funds compliance team.
Identify and mitigate regulatory risks associated with the asset management business.
Develop and implement policies and procedures to ensure compliance with legal and regulatory requirements.
As a member of the RI Compliance Team, provide support to Russell Investments’ U.S. compliance programs for U.S. Registered Investment Companies, investment advisors and broker dealers, as needed. Additionally, you may be assigned certain support responsibilities for Russell Investments’ global compliance efforts, as needed.

Your Expertise:

A minimum of 5 years of compliance experience related to investment management.
Strong knowledge of securities laws and regulations applicable to funds (including AML and ERISA).
Proven ability to manage complex projects and deliver high-quality results within deadlines.
Experience drafting and finalizing policies and procedures.
Excellent communication and interpersonal skills with the ability to collaborate effectively with cross-functional teams and external partners.
Commitment to professional ethics, integrity, and attention to detail.

This role is not eligible for employment-based immigration sponsorship. Applicants must be legally authorized to work in the United States without employer sponsorship, now or in the future.

Equal Employment Opportunity

Russell Investments is committed to providing equal employment opportunities for all associates and employment applicants regardless of race, religion, ancestry, creed, color, gender (including gender identity which refers to a person's actual or perceived sex, and includes self-image, appearance, behavior or expression, whether or not different from that traditionally associated with a person's biological sex), age, national origin, citizenship status, disability, medical condition, military status, veteran status, marital status, sexual orientation, past or present unemployment status , or any other characteristic protected by law.

","hiringOrganization":{"@type":"Organization","name":"Russell Investments","sameAs":"https://russellinvestments.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Seattle, United States","addressCountry":"United States","addressRegion":"North America"}}}},{"@type":"ListItem","position":47,"item":{"@type":"JobPosting","title":"Analyst, Compliance","datePosted":"2025-07-15","description":"

About the role

The individual will be part of GLGs 70+ person global compliance department and would be required to provide timely and thoughtful support for global client service professionals. In this role you will gain more autonomy as you develop into a compliance subject matter expert across industries and topics that will lead you to assist with broader and more critical compliance driven initiatives. You will also develop strong actionable business skills – including time management, prioritization, communication, negotiation, problem solving, and project management. 
GLG attracts employees from diverse academic and professional backgrounds. We look for individuals who are passionate about our mission to transform how professionals learn and who embody GLG’s values: learning and curiosity, responsibility, courage, judgment, fresh perspective, service, and integrity. 

The role of an Associate in Compliance team (Project Surveillance) shall encompass various tasks including, but not limited to:  
• Understanding and enforcing key requirements of firm and regulators’ Legal & Compliance rules and policies.
• Conduct ongoing surveillance of expert-client engagements and project activities to identify any potential compliance issues.
• Assess the risk associated with various projects and identify potential compliance challenges.
• Collaborate with internal teams to develop risk mitigation strategies and implement necessary controls.
• Keeping abreast with existing geopolitical situations, regions specific compliance protocol and GDPR policies. 
• Identify and apply a strong distinction between correct and incorrect business practices and escalate compliance breaches
• Take a practical approach to solving issues and complex problems, delivering insightful and practical solutions.
• Providing periodic updates to stakeholders on various compliance related initiatives.
• Individual will reference existing organizational policies; however, due to frequency of unique situations will need to research issues and, through situation-specific inquiries, propose solutions to issues. 
• Conducting in-depth research on various topics using proprietary databases and/or public domain by understanding the scope of engagements.   

 An ideal candidate will have the following: 

• Postgraduate/Graduate with 0 to 2 years of relevant industry experience in Compliance, Forensic Investigation, Risk Advisory, or Internal Audits.
• Succinct and structured oral and written communications skills with proven ability to explain in a crisp and concise manner.
• Proven experience in compliance, risk management, or a related field.
• Experience of working on Service Cloud will be an added advantage.
• Critical Thinking — Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems. 
• Strong interpersonal skills and the ability to build relationships based on mutual trust and respect. 

About GLG / Gerson Lehrman Group

GLG is the world’s insight network. Our clients rely on GLG’s global team to connect with powerful insight across fields from our network of approximately 1 million experts (and the hundreds of new experts we recruit every day).

We serve thousands of the world’s best businesses, from Fortune 500 corporations to leading technology companies to professional services firms and financial institutions. We connect our clients to the world’s largest and most varied source of first-hand expertise, including executives, scientists, academics, former public-sector leaders, and the foremost subject matter specialists.

GLG’s industry-leading compliance framework allows clients to learn in a structured, auditable, and transparent way, consistent with their own internal compliance obligations and the highest professional ethical standards. Our compliance standards are a major competitive differentiator and key component of the company’s culture.

To learn more, visit www.GLGinsights.com.

Gerson Lehrman Group, Inc. (“GLG”) is an equal opportunity employer and will not discriminate against any employee or applicant on the basis of age, race, religion, color, marital status, disability, gender, national origin, sexual orientation, veteran status, or any classification protected by federal, state, or local law.

","hiringOrganization":{"@type":"Organization","name":"GLG","sameAs":"https://glginsights.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Gurugram","addressCountry":"India","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":48,"item":{"@type":"JobPosting","title":"Compliance Specialist","datePosted":"2025-07-15","description":"

Company Description

Aboitiz Foods is an integrated regional food and agribusiness company dedicated to creating a high-performance culture anchored on our time-honored values of Integrity, Teamwork, Innovation, and Responsibility. Through the collective strengths of our subsidiaries, Pilmico and Gold Coin, we believe in sustainably feeding Asia’s growth from mill to meal.
\n
\nWe are constantly improving and optimizing our processes by integrating the value chain around Asia. We leverage our sector expertise and capabilities to deliver quality every time. With our world-class technology and culture of constant innovation, we devote ourselves to serving you better.
\n
\nAt Aboitiz Foods, we embrace change and inspire innovation, leading the way in food and agribusiness solutions. Join us as we shape the future of food in Asia and build a culture where, together, we nourish the future.

Job Description

The SC Compliance Specialist will handle all operational regulatory requirements of AgriB PH related to Feed manufacturing, Trading and Meats importation. This includes, but not exclusive to the compliance of import and export activities.

Qualifications

Education:

College Graduate preferably with an engineering background.

Experience:

3 – 5 years work experience, preferably in a feed mill operation.
Experienced in using SAP 4HANA
Experience in the ERP project implementation is a plus
Preferably with a master data management experience in a manufacturing environment
Experience working in a cross-functional, team-oriented, collaborative environment.

License/s:

N/A

Additional Information

Other Requirements:

With high level of Integrity and common sense
Good interpersonal relationship skills.
High sense of urgency.
Highly organized and efficient
Computer literacy in data processing and company-required software (Power BI)
Ability to effectively communicate well with other people both written and oral.
Skill in establishing and maintaining a good working relationship with other employees.
Very good documentation and data management skills.

","hiringOrganization":{"@type":"Organization","name":"Pilmico Foods Corporation","sameAs":"https://www.pilmico.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Tarlac, Central Luzon, Philippines","addressCountry":"Philippines","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":49,"item":{"@type":"JobPosting","title":"Compliance Officer","datePosted":"2025-07-15","description":"

Virtu is a leading financial firm that leverages cutting edge technology to deliver liquidity to the global markets and innovative, transparent trading solutions to our clients. As a market maker, Virtu provides deep liquidity that helps to create more efficient markets around the world. Our market structure expertise, broad diversification, and execution technology enables us to provide competitive bids and offers in over 19,000 securities, at over 235 venues, in 36 countries worldwide.

The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. This role will require interest and ability to work across several Compliance areas, manage multiple deadlines and interact with internal and external stakeholders.

The Compliance Officer works closely with business functions to provide advice, conduct surveillances, investigate issues and develop sustainable corrective actions. The ideal candidate will be an exceptional communicator who will serve as the face of the Compliance team both internally and externally and is comfortable working directly with all levels of management. A successful candidate will be a person who identifies issues and creates solutions without rigid direction or fanfare. The candidate will be a highly motivated and tenacious individual, with a proven ability to take initiative, working both independently and within a team.

Responsibilities

Works closely with key stakeholders in the business, operations, risk, technology and finance teams to ensure robust compliance policies and procedures are in place.
Perform surveillance and supervisory reviews.
Conduct AML due diligence and respond to AML/KYC inquiries from third parties
Respond to regulatory inquiries by gathering data, conducting stakeholder interviews and performing analyses to inform a narrative response.
Perform regulatory review and reporting
Propose compliance innovation initiatives with a focus on greater automation and increased efficiency.
Communicate with regulators and other external parties (verbal and written) in connection with inquiries, exams, rule-making initiatives and outreach

Experience & Qualifications

Bachelor’s Degree or Commensurate Experience.
Post-Graduate Degree a Plus.
0-3 years of experience with a financial services firm, Fin-Tech, regulator, audit firm or commensurate experience.
Knowledge of broker-dealer regulation, including securities and commodities laws, agency/client trading, the SFC, ASIC or MAS’ capital markets regulations and guidance a plus.
Strong communication and interpersonal skills.
Self-starter and team player who is comfortable working in a fast-paced environment and a relatively flat organization.
\n
- Familiarity with equities, options, fixed income, currency, commodities, futures, fx, swaps and forwards, crypto currencies.
- Knowledge of computer programming languages, database administration, and network architecture to assist with matters such as trade reviews and gathering data a plus.
- Trading and back-office experience a plus.
\n

\n

\n
**These qualifications are meant as a guideline and aren’t minimum qualifications. We would love to hear from you regardless of whether you have all the experiences listed!**
\n

Virtu Financial is an equal opportunity employer, committed to a diverse and inclusive workplace, welcoming you for who you are and does not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.

","hiringOrganization":{"@type":"Organization","name":"Virtu Financial","sameAs":"https://www.virtu.com/"},"jobLocation":{"@type":"Place","address":{"@type":"PostalAddress","addressLocality":"Singapore","addressCountry":"Singapore","addressRegion":"Asia/Pacific"}}}},{"@type":"ListItem","position":50,"item":{"@type":"JobPosting","title":"Compliance Lead","datePosted":"2025-06-29","description":"

Company Description

Speed. Scale. Simplification.

This is our philosophy. This is our momentum. This is your opportunity.

At APCOA, we are not just managing parking spaces – we’re pioneering the future of urban mobility and smart city solutions. With a presence in 12 countries, over 12,000 locations, and more than 50 years of operational leadership, we are Europe’s largest parking and mobility services provider.

And now, we’re entering a bold new chapter.

With the launch of our newly formed Group HQ in West London, we are transforming from a collection of high-performing local business units into a truly enterprise-led, future-fit organisation — one that retains its entrepreneurial spirit while unlocking the power of scale.

Job Description

The Compliance Lead is a key position responsible for developing, implementing, and overseeing APCOA's comprehensive compliance program across all European operations. Reporting directly to the General Counsel, this role ensures that APCOA adheres to all applicable laws, regulations, and internal policies while mitigating compliance risks and maintaining the company's reputation for ethical business practices. The position will also serve as the Group Data Protection Officer, requiring deep expertise in data privacy regulations across our European markets.

KEY RESPONSIBILITIES

Lead the development and execution of APCOA's compliance strategy and framework, ensuring alignment and cohesion across the group under our new operating model
Serve as Group Data Protection Officer, overseeing all data privacy compliance across APCOA's European operations
Oversee compliance monitoring activities across all jurisdictions where APCOA operates
Manage and respond to any compliance breaches and reports across our 5,000-person workforce, ensuring efficient resolution of routine compliance matters
Identify compliance risks and implement appropriate controls and mitigation strategies
Develop, review, and update compliance policies and procedures with focus on standardization across the group
Provide strategic compliance advice to senior management and the Board, with particular understanding of private equity governance requirements
Lead investigations into potential compliance breaches, from routine operational matters to complex regulatory issues
Establish and maintain relationships with regulatory authorities, particularly data protection authorities
Manage the compliance team and coordinate with regional compliance officers to ensure consistent group-wide approach
Report on compliance matters to the General Counsel and executive leadership team
Ensure adequate compliance training programs are in place across the organization, with emphasis on data protection
Stay abreast of regulatory changes, particularly in data privacy, and assess their impact on APCOA's operations
Conduct periodic compliance risk assessments and implement improvement plans

Qualifications

Experience

Advanced degree in Law, Business Administration, or related field
Minimum 3-5 years of experience in a similar in-house compliance leadership role
Strong background in data privacy law and regulations (GDPR, national data protection laws)
Experience working within private equity-backed organizations and understanding PE governance requirements
Proven track record of developing and implementing compliance programs
In-depth knowledge of European regulatory frameworks, particularly in relevant industries
Experience leading compliance teams and initiatives across multiple jurisdictions
Strong understanding of risk management principles and practices
Professional compliance certification preferred (e.g., CCEP, CIPP)
Data Protection Officer certification or equivalent qualification preferred

Skills and Competencies

Strategic thinking with exceptional analytical abilities
Strong leadership skills with the ability to influence at all levels of the organization and drive group-wide alignment
Excellent communication and presentation skills
Sound judgment and decision-making capabilities, particularly when managing high-volume, routine compliance matters
Ability to translate complex regulatory requirements into practical business solutions
Deep expertise in data privacy regulations and ability to serve as Group DPO
Understanding of private equity governance and compliance expectations
Integrity and high ethical standards
Crisis management expertise
Strong negotiation and conflict resolution skills
Business acumen with the ability to balance compliance requirements with business objectives
Efficiency in managing routine compliance matters while maintaining focus on strategic initiatives

Working Conditions

Full-time position based at APCOA headquarters in Uxbridge
Reports directly to the General Counsel
Regular travel to regional offices across Europe
Participation in executive and board meetings
Flexibility to address compliance matters as they arise, including routine operational issues

Additional Information

At APCOA, we see beyond the parking space. We see a world where mobility is intelligent, sustainable, and seamlessly integrated into daily life.

Our new Group HQ is more than a physical space — it’s the heartbeat of a new enterprise, where high-impact leaders shape the future.

If you’re ready to apply your expertise to meaningful challenges and help transform an industry —

join APCOA Group HQ. Let’s build what’s next.

APCOA Group HQ is an equal opportunity employer. We welcome and encourage applicants from all backgrounds to apply.

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