Firm Overview: Cambridge Associates ("CA") is a leading global investment firm. CA's goal is to help endowments & foundations, pension plans, and ultra-high net worth private clients implement and manage custom investment portfolios that generate outperformance so that they can maximize their impact on the world. Cambridge Associates delivers a range of services, including outsourced CIO, non-discretionary portfolio management, and investment consulting. Headquartered in Boston, Massachusetts, CA has offices in key markets in North America, the United Kingdom, Europe, Asia, and Oceania. Our worldwide teams ensure our clients benefit from decades of global presence, local expertise, and relationships with the top global investment managers across the world. For more information, please visit . Position Summary: We are seeking a Compliance Associate to join our London office, reporting to the Head of Compliance. This role will be pivotal in strengthening our group compliance frameworks, ensuring regulatory adherence, and maintaining our reputation for excellence in the investment industry. Key Responsibilities: • Perform and document controls testing under the firm's Compliance Monitoring Programme. • Assist with Regulatory Reporting and the firm's global Regulatory Data Initiative Project. • Monitor, interpret and implement new regulatory requirements. • Develop and refine compliance policies and procedures. • Advise the firm's Client Information Management team on AML/KYC matters. • Deliver regulatory training and guidance to employees. • Assist with internal and external audits. • Prepare reports for the firm's management committees and board. • Contribute to regulatory and business projects; and • Promote a robust compliance culture across the firm. Qualifications: • Minimum of 2 years of compliance experience in institutional asset management or relevant financial sector roles • Familiarity with UK and European regulatory frameworks, including MiFID II, AIFMD, and FCA Rules • Strong communication and analytical skills • Proven ability to build collaborative relationships across all levels of the organisation • Ability to work independently and in a team environment to manage and deliver high-quality results • Operates with the highest level of integrity and confidentiality The firm is committed to the concept and practice of equal employment opportunity and will not discriminate against any employee or applicant on the basis of race, color, religion, age, sex, national origin, sexual orientation, gender identity, disability, or veteran status. It is expected that all employees will follow a similar policy toward their co-workers. Employees of Cambridge Associates Ltd / GmbH or an affiliated firm, are prohibited from employment or other association with any company, organization, business, or other entity that is involved in any way with the securities or financial services industry except for those entities that are directly affiliated with Cambridge Associates Ltd/GmbH. Employees are prohibited from acting as a Trustee or Director of, or accepting a similar position of responsibility with, any entity that is a client of or directly affiliated with a client of Cambridge Associates, Ltd/GmbH or any of its affiliated companies without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd/GmbH. Employees are prohibited from serving on the investment or finance committee of any company or organization with investable funds, or likely to develop investable funds, without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd /GmbH. If applying for the role, you need to inform the Recruiter if there are any potential conflicts with the above.
Jul 04, 2025
Full time
Firm Overview: Cambridge Associates ("CA") is a leading global investment firm. CA's goal is to help endowments & foundations, pension plans, and ultra-high net worth private clients implement and manage custom investment portfolios that generate outperformance so that they can maximize their impact on the world. Cambridge Associates delivers a range of services, including outsourced CIO, non-discretionary portfolio management, and investment consulting. Headquartered in Boston, Massachusetts, CA has offices in key markets in North America, the United Kingdom, Europe, Asia, and Oceania. Our worldwide teams ensure our clients benefit from decades of global presence, local expertise, and relationships with the top global investment managers across the world. For more information, please visit . Position Summary: We are seeking a Compliance Associate to join our London office, reporting to the Head of Compliance. This role will be pivotal in strengthening our group compliance frameworks, ensuring regulatory adherence, and maintaining our reputation for excellence in the investment industry. Key Responsibilities: • Perform and document controls testing under the firm's Compliance Monitoring Programme. • Assist with Regulatory Reporting and the firm's global Regulatory Data Initiative Project. • Monitor, interpret and implement new regulatory requirements. • Develop and refine compliance policies and procedures. • Advise the firm's Client Information Management team on AML/KYC matters. • Deliver regulatory training and guidance to employees. • Assist with internal and external audits. • Prepare reports for the firm's management committees and board. • Contribute to regulatory and business projects; and • Promote a robust compliance culture across the firm. Qualifications: • Minimum of 2 years of compliance experience in institutional asset management or relevant financial sector roles • Familiarity with UK and European regulatory frameworks, including MiFID II, AIFMD, and FCA Rules • Strong communication and analytical skills • Proven ability to build collaborative relationships across all levels of the organisation • Ability to work independently and in a team environment to manage and deliver high-quality results • Operates with the highest level of integrity and confidentiality The firm is committed to the concept and practice of equal employment opportunity and will not discriminate against any employee or applicant on the basis of race, color, religion, age, sex, national origin, sexual orientation, gender identity, disability, or veteran status. It is expected that all employees will follow a similar policy toward their co-workers. Employees of Cambridge Associates Ltd / GmbH or an affiliated firm, are prohibited from employment or other association with any company, organization, business, or other entity that is involved in any way with the securities or financial services industry except for those entities that are directly affiliated with Cambridge Associates Ltd/GmbH. Employees are prohibited from acting as a Trustee or Director of, or accepting a similar position of responsibility with, any entity that is a client of or directly affiliated with a client of Cambridge Associates, Ltd/GmbH or any of its affiliated companies without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd/GmbH. Employees are prohibited from serving on the investment or finance committee of any company or organization with investable funds, or likely to develop investable funds, without prior written consent from the Chief Compliance Officer of Cambridge Associates, Ltd /GmbH. If applying for the role, you need to inform the Recruiter if there are any potential conflicts with the above.
THE COMPANY: We are working with an exciting client of ours who operate in the PSD & EMI Space currently. They are looking to hire a Head of Transaction Monitoring to refine and provide effective and efficient oversight of the fraud and transaction monitoring function. THE RESPONSIBILITIES: Lead and manage transaction monitoring and fraud processes, including the handling of potential fraud cases and the execution of post-transaction monitoring (rule-based, periodic, and event-driven reviews) in line with internal service level guidelines. Ensure compliance with all relevant regulatory obligations and internal policies and procedures. Report any potential or actual breaches to the Money Laundering Reporting Officers (MLROs). Maintain an up-to-date Business Continuity Plan (BCP) for transaction monitoring and support broader compliance operations as required. Manage and develop a high-performing transaction monitoring team, promoting a culture of compliance, accountability, and operational excellence. Oversee the identification, investigation, and escalation of suspicious activity. Ensure timely, accurate, and risk-appropriate responses to potential fraud or financial crime incidents in alignment with regulatory expectations and internal policies. Analyse trends and risks, providing actionable insights and recommendations to senior leadership. Drive the ongoing enhancement of transaction monitoring processes, with a focus on increasing efficiency and effectiveness through system upgrades and automation. Deliver regular training sessions on transaction monitoring and fraud prevention topics. Ensure timely implementation of corrective actions arising from compliance monitoring, audits, and incident reviews (internal or external). Represent the transaction monitoring function during internal and external audits. EXPERIENCE REQUIRED: Proven experience in leading others in a transaction monitoring department. Experience in a fintech/ EMI environment is a must. Experience with developing and refining processes within the transaction monitoring and fraud space is highly desirable. Proven stakeholder management experience. THIS ROLE DOES NOT OFFER SPONSORSHIP. THIS ROLE IS NOT A KYC/ ONBOARDING FOCUSSED ROLE. For further information, please contact Jordan White
Jul 04, 2025
Full time
THE COMPANY: We are working with an exciting client of ours who operate in the PSD & EMI Space currently. They are looking to hire a Head of Transaction Monitoring to refine and provide effective and efficient oversight of the fraud and transaction monitoring function. THE RESPONSIBILITIES: Lead and manage transaction monitoring and fraud processes, including the handling of potential fraud cases and the execution of post-transaction monitoring (rule-based, periodic, and event-driven reviews) in line with internal service level guidelines. Ensure compliance with all relevant regulatory obligations and internal policies and procedures. Report any potential or actual breaches to the Money Laundering Reporting Officers (MLROs). Maintain an up-to-date Business Continuity Plan (BCP) for transaction monitoring and support broader compliance operations as required. Manage and develop a high-performing transaction monitoring team, promoting a culture of compliance, accountability, and operational excellence. Oversee the identification, investigation, and escalation of suspicious activity. Ensure timely, accurate, and risk-appropriate responses to potential fraud or financial crime incidents in alignment with regulatory expectations and internal policies. Analyse trends and risks, providing actionable insights and recommendations to senior leadership. Drive the ongoing enhancement of transaction monitoring processes, with a focus on increasing efficiency and effectiveness through system upgrades and automation. Deliver regular training sessions on transaction monitoring and fraud prevention topics. Ensure timely implementation of corrective actions arising from compliance monitoring, audits, and incident reviews (internal or external). Represent the transaction monitoring function during internal and external audits. EXPERIENCE REQUIRED: Proven experience in leading others in a transaction monitoring department. Experience in a fintech/ EMI environment is a must. Experience with developing and refining processes within the transaction monitoring and fraud space is highly desirable. Proven stakeholder management experience. THIS ROLE DOES NOT OFFER SPONSORSHIP. THIS ROLE IS NOT A KYC/ ONBOARDING FOCUSSED ROLE. For further information, please contact Jordan White
Company Description Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world's top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led content with a global expert network. We serve over 1,000 investment firms, offering clients 24/7 coverage through our team of 1,500 employees located across twelve offices. Job Description As the Head of Legal, you will be responsible for overseeing the day-to-day operations of the legal department, and for designing and implementing strategic and tactical initiatives to improve processes and increase the efficiency and effectiveness of the department. You will be responsible for the management of the legal team, supporting them in managing their workload and any escalations. As the Head of Legal, you will also act as the interim Data Protection Officer (DPO) for the Third Bridge Group (outside of China and Singapore) and be responsible for ensuring company secretarial activities of all group companies are managed effectively. Team management and operations Manage the global legal team based across China, London and New York to ensure a consistent global approach. Ensure the legal team is a high-performing and effective team, recognised across the business who services its internal clients efficiently. Encourage and support the team to constantly develop their skills and expertise, ensuringeach has a personal development plan and provide feedback and support wherever necessary. Actively seek out and implement new processes and technology to improve operational efficiencies and effectiveness within the legal team. This is the legal team's KPI for 2025 so it will be a real focus of the role. Identify tools/technology to effectively monitor workflow, provide transparency to leaders and help identify bottlenecks and opportunities for improvement. Manage the team's budget including forecasting, tracking and reporting during the financial year. Conduct process audits to identify inefficiencies and areas for improvement. In collaboration with business leaders develop and maintain a series of SOPs with business agreed KPIs for the team. Policy management and adherence Own, monitor and keep up to date the following legal policies: The Securities Dealing and Insider Trading Policy, The Communications Policy, The Modern Slavery Policy, The Anti- Bribery and Corruption Policy and the Privacy Policy Ensure the Third Bridge global statutory and regulatory update tracker is updated quarterly Corporate and company secretary Ensure the company registers are up to date Manage and maintain shareholder documents around the Management Incentive Plan and Employee Share Option Plan i.e. share issues to and share purchases from managers and option grants to employees (and overseeing the annual required share scheme filings with HMRC) Manage the company secretarial relationships for the Luxembourg-based TopCo and the Management Incentive Plan Trustee based in Jersey Ensure intercompany arrangements are up to date (transfer pricing, inter-company loans, data sharing) Respond to due diligence questionnaires and KYC requests from third parties including shareholders and clients Companies House filings and other local filings Advise on the legal risks and requirements for new office and legal entity formation Intellectual Property Advise in respect of the protection of intellectual property rights Manage Third Bridge's trademark portfolio and liaising with TM agents Dispute Management Deal with contract disputes with clients and specialist queries Advise in respect of employee disputes and investigations Provide advice in relation to restrictive covenant disputes (incoming and outgoing) Respond to legal claims and cease and desist letters from companies claiming infringement of employment/confidentiality rights. Data Protection Act as the DPO for the Third Bridge Group (except China and Singapore) Design and maintain Third Bridge's Privacy Policies, procedures, and training Advise the business on the impact of data privacy and core compliance with global data privacy laws Liaise with regulators, responding to SARs and other data subject rights requests Deal with Data Breaches and maintain the data breach register Review Data Processing Impact Assessments and Data Processing Agreements Insurance and Risk Management Work with the business to assess risks and mitigate them Ensure compliance with local laws and sanctions regimes Maintain appropriate insurance to cover business risks and liabilities. Qualifications Excellent communication skills both written and verbal PQE andlegal operations experience Proven experience of dealing with C suite stakeholders Experience withlegal operations and improving legal team efficiencies Experienceworking with a team based overseas and managing global contracts and risks Strong commercial acumen Strong knowledge and experience of data privacy laws Additional Information Vacation: 25 days (which increases to 28 days after 2 years of service) plus UK Bank Holidays Learning: personal development allowance of £750 per year Health and wellbeing: private medical insurance and healthcare cash plan, a variety of health and wellbeing events to focus on mental health, Ride to Work scheme (savings on bikes and accessories) Future and family: pension contributions of 4% (increases with tenure) and life insurance of 4x of your base salary Flexibility: work from anywhere for one month per year, 2 annual volunteer days, 2 personal days when life throws you a curveball and 'Summer Fridays' Social: weekly optional social gatherings, daily breakfast and snacks, social events ESG: CSR, Environment and Diversity & Inclusion (including Women at Third Bridge, Pride and Blkbridge) Frontline Innovation: your chance to share your ideas for improvement through Hackathons and other events The successful candidate must, by the start of the employment, have permission to work in the country they are applying. We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal-opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.
Jul 04, 2025
Full time
Company Description Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world's top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led content with a global expert network. We serve over 1,000 investment firms, offering clients 24/7 coverage through our team of 1,500 employees located across twelve offices. Job Description As the Head of Legal, you will be responsible for overseeing the day-to-day operations of the legal department, and for designing and implementing strategic and tactical initiatives to improve processes and increase the efficiency and effectiveness of the department. You will be responsible for the management of the legal team, supporting them in managing their workload and any escalations. As the Head of Legal, you will also act as the interim Data Protection Officer (DPO) for the Third Bridge Group (outside of China and Singapore) and be responsible for ensuring company secretarial activities of all group companies are managed effectively. Team management and operations Manage the global legal team based across China, London and New York to ensure a consistent global approach. Ensure the legal team is a high-performing and effective team, recognised across the business who services its internal clients efficiently. Encourage and support the team to constantly develop their skills and expertise, ensuringeach has a personal development plan and provide feedback and support wherever necessary. Actively seek out and implement new processes and technology to improve operational efficiencies and effectiveness within the legal team. This is the legal team's KPI for 2025 so it will be a real focus of the role. Identify tools/technology to effectively monitor workflow, provide transparency to leaders and help identify bottlenecks and opportunities for improvement. Manage the team's budget including forecasting, tracking and reporting during the financial year. Conduct process audits to identify inefficiencies and areas for improvement. In collaboration with business leaders develop and maintain a series of SOPs with business agreed KPIs for the team. Policy management and adherence Own, monitor and keep up to date the following legal policies: The Securities Dealing and Insider Trading Policy, The Communications Policy, The Modern Slavery Policy, The Anti- Bribery and Corruption Policy and the Privacy Policy Ensure the Third Bridge global statutory and regulatory update tracker is updated quarterly Corporate and company secretary Ensure the company registers are up to date Manage and maintain shareholder documents around the Management Incentive Plan and Employee Share Option Plan i.e. share issues to and share purchases from managers and option grants to employees (and overseeing the annual required share scheme filings with HMRC) Manage the company secretarial relationships for the Luxembourg-based TopCo and the Management Incentive Plan Trustee based in Jersey Ensure intercompany arrangements are up to date (transfer pricing, inter-company loans, data sharing) Respond to due diligence questionnaires and KYC requests from third parties including shareholders and clients Companies House filings and other local filings Advise on the legal risks and requirements for new office and legal entity formation Intellectual Property Advise in respect of the protection of intellectual property rights Manage Third Bridge's trademark portfolio and liaising with TM agents Dispute Management Deal with contract disputes with clients and specialist queries Advise in respect of employee disputes and investigations Provide advice in relation to restrictive covenant disputes (incoming and outgoing) Respond to legal claims and cease and desist letters from companies claiming infringement of employment/confidentiality rights. Data Protection Act as the DPO for the Third Bridge Group (except China and Singapore) Design and maintain Third Bridge's Privacy Policies, procedures, and training Advise the business on the impact of data privacy and core compliance with global data privacy laws Liaise with regulators, responding to SARs and other data subject rights requests Deal with Data Breaches and maintain the data breach register Review Data Processing Impact Assessments and Data Processing Agreements Insurance and Risk Management Work with the business to assess risks and mitigate them Ensure compliance with local laws and sanctions regimes Maintain appropriate insurance to cover business risks and liabilities. Qualifications Excellent communication skills both written and verbal PQE andlegal operations experience Proven experience of dealing with C suite stakeholders Experience withlegal operations and improving legal team efficiencies Experienceworking with a team based overseas and managing global contracts and risks Strong commercial acumen Strong knowledge and experience of data privacy laws Additional Information Vacation: 25 days (which increases to 28 days after 2 years of service) plus UK Bank Holidays Learning: personal development allowance of £750 per year Health and wellbeing: private medical insurance and healthcare cash plan, a variety of health and wellbeing events to focus on mental health, Ride to Work scheme (savings on bikes and accessories) Future and family: pension contributions of 4% (increases with tenure) and life insurance of 4x of your base salary Flexibility: work from anywhere for one month per year, 2 annual volunteer days, 2 personal days when life throws you a curveball and 'Summer Fridays' Social: weekly optional social gatherings, daily breakfast and snacks, social events ESG: CSR, Environment and Diversity & Inclusion (including Women at Third Bridge, Pride and Blkbridge) Frontline Innovation: your chance to share your ideas for improvement through Hackathons and other events The successful candidate must, by the start of the employment, have permission to work in the country they are applying. We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal-opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.
Job Ad: Relationship Support Officer - Trade & FI We're on the hunt for a Relationship Support Officer to join our Trade & Financial Institutions team in London . If you thrive on client interaction, operational precision, and international banking exposure - we want to hear from you! This role is a 3 month FTC. What You'll Do: Serve as the first point of contact for trade clients and correspondent banks Support FI & Trade RMs with admin and compliance tasks Conduct compliance due diligence and monitor SWIFT KYC Registry updates Maintain and reconcile bank and country credit limits Prepare reports, applications, and management information Must-Have Skills: At least 2 years of banking experience Understanding of trade finance and financial instruments Solid compliance mindset and due diligence skills Strong communication and interpersonal abilities Proficiency in MS Office (especially Excel & PowerPoint) Who You Are: Reliable, people-focused, and detail-oriented A team player with energy and motivation to grow Ethical, accountable, and ready to deliver great customer outcomes Ready to step into a role that supports global banking relationships? Apply now and be part of a dynamic and diverse team!
Jul 03, 2025
Contractor
Job Ad: Relationship Support Officer - Trade & FI We're on the hunt for a Relationship Support Officer to join our Trade & Financial Institutions team in London . If you thrive on client interaction, operational precision, and international banking exposure - we want to hear from you! This role is a 3 month FTC. What You'll Do: Serve as the first point of contact for trade clients and correspondent banks Support FI & Trade RMs with admin and compliance tasks Conduct compliance due diligence and monitor SWIFT KYC Registry updates Maintain and reconcile bank and country credit limits Prepare reports, applications, and management information Must-Have Skills: At least 2 years of banking experience Understanding of trade finance and financial instruments Solid compliance mindset and due diligence skills Strong communication and interpersonal abilities Proficiency in MS Office (especially Excel & PowerPoint) Who You Are: Reliable, people-focused, and detail-oriented A team player with energy and motivation to grow Ethical, accountable, and ready to deliver great customer outcomes Ready to step into a role that supports global banking relationships? Apply now and be part of a dynamic and diverse team!
Job Title: Chief Operating Officer (COO) - UK Location: United Kingdom Salary: Competitive Salary Package + Benefits Job Purpose: We are seeking a dynamic and results-driven Chief Operating Officer (COO) to lead the operational strategy and execution for our UK banking operations. As a member of the executive leadership team, the COO will be responsible for overseeing daily operations, ensuring operational resilience, regulatory compliance, and aligning operational initiatives with the strategic goals of the Board and CEO. This role plays a critical part in the First Line of Defence for Operational Risk and Financial Crime prevention, including AML. Key Responsibilities: Strategic & Operational Leadership Translate Board-level strategic direction into operational execution, driving delivery of the Strategic Business Plan. Design, implement, and optimise operations strategies, policies, and procedures to enable sustainable business growth. Lead business transformation initiatives and continuous improvement to enhance operational efficiency. Ensure the organisation's operations comply with internal policies, regulatory standards, and industry best practices. Oversee the firm's day-to-day operations and systems infrastructure to support scalability and effective risk management. Drive the development and execution of the firm's Operational Resilience Framework, including business continuity and incident response. Lead the ongoing improvement of operational risk frameworks, governance, and internal controls across the bank. Ensure robust outsourcing and third-party risk management, including due diligence, monitoring, and exit planning. Cross-functional & Supplier Management Provide executive oversight of end-to-end transaction processing across key business units. Liaise with Compliance, Credit Risk, KYC, AML, and other control functions to ensure integrated risk mitigation. Develop strong partnerships with critical suppliers to ensure delivery of business-critical services, including resilience testing and incident resolution. Lead supplier risk governance, from onboarding to performance review and continuity planning. Build and lead high-performing operations teams across the organisation. Set and monitor KPIs, ensure professional development, and create a culture focused on performance, compliance, and innovation. Promote a culture of risk awareness, operational excellence, and cross-functional collaboration. Governance & Reporting Serve as the executive lead for reporting on operational performance, resilience, and risk to the Board and executive committees. Oversee the preparation of operational MI, Board papers, and regulatory reports. Ensure governance frameworks are adhered to in all operational matters. Qualifications & Experience: Bachelor's degree in Business, Finance, Risk Management, or a related field (Master's preferred). Minimum of 10 years' leadership experience in banking operations, with at least 5 years at a senior management or COO level. Deep knowledge of UK banking regulations, operational risk, and financial crime prevention. Proven experience in driving business transformation, operational resilience, and third-party risk oversight. Strategic Thinking & Execution Leadership & People Management Resilience Planning & Incident Management
Jun 27, 2025
Full time
Job Title: Chief Operating Officer (COO) - UK Location: United Kingdom Salary: Competitive Salary Package + Benefits Job Purpose: We are seeking a dynamic and results-driven Chief Operating Officer (COO) to lead the operational strategy and execution for our UK banking operations. As a member of the executive leadership team, the COO will be responsible for overseeing daily operations, ensuring operational resilience, regulatory compliance, and aligning operational initiatives with the strategic goals of the Board and CEO. This role plays a critical part in the First Line of Defence for Operational Risk and Financial Crime prevention, including AML. Key Responsibilities: Strategic & Operational Leadership Translate Board-level strategic direction into operational execution, driving delivery of the Strategic Business Plan. Design, implement, and optimise operations strategies, policies, and procedures to enable sustainable business growth. Lead business transformation initiatives and continuous improvement to enhance operational efficiency. Ensure the organisation's operations comply with internal policies, regulatory standards, and industry best practices. Oversee the firm's day-to-day operations and systems infrastructure to support scalability and effective risk management. Drive the development and execution of the firm's Operational Resilience Framework, including business continuity and incident response. Lead the ongoing improvement of operational risk frameworks, governance, and internal controls across the bank. Ensure robust outsourcing and third-party risk management, including due diligence, monitoring, and exit planning. Cross-functional & Supplier Management Provide executive oversight of end-to-end transaction processing across key business units. Liaise with Compliance, Credit Risk, KYC, AML, and other control functions to ensure integrated risk mitigation. Develop strong partnerships with critical suppliers to ensure delivery of business-critical services, including resilience testing and incident resolution. Lead supplier risk governance, from onboarding to performance review and continuity planning. Build and lead high-performing operations teams across the organisation. Set and monitor KPIs, ensure professional development, and create a culture focused on performance, compliance, and innovation. Promote a culture of risk awareness, operational excellence, and cross-functional collaboration. Governance & Reporting Serve as the executive lead for reporting on operational performance, resilience, and risk to the Board and executive committees. Oversee the preparation of operational MI, Board papers, and regulatory reports. Ensure governance frameworks are adhered to in all operational matters. Qualifications & Experience: Bachelor's degree in Business, Finance, Risk Management, or a related field (Master's preferred). Minimum of 10 years' leadership experience in banking operations, with at least 5 years at a senior management or COO level. Deep knowledge of UK banking regulations, operational risk, and financial crime prevention. Proven experience in driving business transformation, operational resilience, and third-party risk oversight. Strategic Thinking & Execution Leadership & People Management Resilience Planning & Incident Management
THE COMPANY: Our client is an international fund/loan administration firm, providing custom solutions to its clients drawing from years of industry experience. THE RESPONSIBILITIES: Assist in operating, developing, enhancing and communicating the objectives of Business risk and compliance framework with an emphasis on risk mitigation and challenge, and assessment of business risk; Review KYC and assist Business in the review of documents for low, medium and high risk clients/investors, including PEPs; Review and advise Business on high risk activities such as third-party payments and bank account changes; Oversight of the sanction screening process, including potential filings of Compliance Reporting Forms; Prepare and deliver the quarterly Compliance Monitoring Program to Board of Directors Responsible for the annual preparation and filing of relevant AML surveys to Cayman Islands Monetary Authority ("CIMA"); Provide training to staff on key AML/ATF/APF regulations and the policies and procedures of the Group; Prepare and deliver AMLCO/MLRO reports; Prepare and deliver reports to Board of Directors on a regular basis: Investigate suspicious activity reports and, where necessary, prepare documentation for filing with the relevant Authority; Have key involvement in the development of IT solutions for regulatory requirements; Implement corrective actions to prevent identified compliance gaps; Monitor client activity; Oversight of the AML/ATF/APF portion of the external Audit; Record keeping; Monitor and keep abreast of legislation, regulations and CIMA guidance relevant to Cayman Islands compliance industry and AML/ATF/APF processes, and revision of Business processes as required. Assess Team resource allocation; Assist with recruitment and training of other Team members if required; Conduct performance reviews for any direct reports. Provide AML Officer function to Cayman Funds/Entities as required; Contribute to Group Compliance Team projects as required EXPERIENCE REQUIRED: Essential to have Cayman regulatory knowledge. 5+ years of experience working in a similar role in the financial services industry. Experience must be related to business and commercial transactions, and experience gained in other offshore jurisdictions is preferred. Substantial experience in fund administration, legal and technology, with experience gained in working in the funds industry in other offshore jurisdictions preferred as well as knowledge of corporate governance, and relevant local laws and regulatory requirements; Familiarity with international data protection and privacy laws/regulations; Previous experience preparing for and working with CIMA during routine scheduled onsite inspections; Previous experience reporting and filing SARs and CRFs For further information please contact Marcus Courtney
Jun 26, 2025
Full time
THE COMPANY: Our client is an international fund/loan administration firm, providing custom solutions to its clients drawing from years of industry experience. THE RESPONSIBILITIES: Assist in operating, developing, enhancing and communicating the objectives of Business risk and compliance framework with an emphasis on risk mitigation and challenge, and assessment of business risk; Review KYC and assist Business in the review of documents for low, medium and high risk clients/investors, including PEPs; Review and advise Business on high risk activities such as third-party payments and bank account changes; Oversight of the sanction screening process, including potential filings of Compliance Reporting Forms; Prepare and deliver the quarterly Compliance Monitoring Program to Board of Directors Responsible for the annual preparation and filing of relevant AML surveys to Cayman Islands Monetary Authority ("CIMA"); Provide training to staff on key AML/ATF/APF regulations and the policies and procedures of the Group; Prepare and deliver AMLCO/MLRO reports; Prepare and deliver reports to Board of Directors on a regular basis: Investigate suspicious activity reports and, where necessary, prepare documentation for filing with the relevant Authority; Have key involvement in the development of IT solutions for regulatory requirements; Implement corrective actions to prevent identified compliance gaps; Monitor client activity; Oversight of the AML/ATF/APF portion of the external Audit; Record keeping; Monitor and keep abreast of legislation, regulations and CIMA guidance relevant to Cayman Islands compliance industry and AML/ATF/APF processes, and revision of Business processes as required. Assess Team resource allocation; Assist with recruitment and training of other Team members if required; Conduct performance reviews for any direct reports. Provide AML Officer function to Cayman Funds/Entities as required; Contribute to Group Compliance Team projects as required EXPERIENCE REQUIRED: Essential to have Cayman regulatory knowledge. 5+ years of experience working in a similar role in the financial services industry. Experience must be related to business and commercial transactions, and experience gained in other offshore jurisdictions is preferred. Substantial experience in fund administration, legal and technology, with experience gained in working in the funds industry in other offshore jurisdictions preferred as well as knowledge of corporate governance, and relevant local laws and regulatory requirements; Familiarity with international data protection and privacy laws/regulations; Previous experience preparing for and working with CIMA during routine scheduled onsite inspections; Previous experience reporting and filing SARs and CRFs For further information please contact Marcus Courtney
Compliance Specialist Ipswich Competitive Salary + Benefits Ready to Join a High-Performing Compliance Team Where Your Expertise Truly Matters? Are you looking for a role where you can make real impact, work with supportive colleagues, and grow your compliance career? Here's your chance. What's In It For You: Join a collaborative, solution-focused team that values your input Supportive environment that encourages innovative thinking Work alongside dedicated professionals who take pride in their work Opportunity to shape and enhance compliance processes Full-time, permanent position with competitive benefits package The Role: You'll be joining a dynamic team where your expertise in anti-money laundering and Due Diligence will be highly valued. This isn't just about following procedures - it's about bringing your analytical mindset to help shape best practices and drive improvements. Your Impact: Lead on customer due diligence and KYC processes Drive AML screening activities and investigations Contribute creative solutions to complex compliance challenges Shape policy improvements that make a real difference Build strong relationships across the business You'll Thrive Here If You Have: 3+ years in financial services compliance or regulatory environment Strong knowledge of AML regulations and KYC/CDD requirements Experience in FCA regulated environments Natural problem-solving abilities and attention to detail Collaborative approach with excellent communication skills Our Client offers a friendly, inclusive environment where proactive thinking is celebrated and your development is prioritised. Ready to join a team that values your expertise? Contact Employment Specialists Ltd
Jun 23, 2025
Full time
Compliance Specialist Ipswich Competitive Salary + Benefits Ready to Join a High-Performing Compliance Team Where Your Expertise Truly Matters? Are you looking for a role where you can make real impact, work with supportive colleagues, and grow your compliance career? Here's your chance. What's In It For You: Join a collaborative, solution-focused team that values your input Supportive environment that encourages innovative thinking Work alongside dedicated professionals who take pride in their work Opportunity to shape and enhance compliance processes Full-time, permanent position with competitive benefits package The Role: You'll be joining a dynamic team where your expertise in anti-money laundering and Due Diligence will be highly valued. This isn't just about following procedures - it's about bringing your analytical mindset to help shape best practices and drive improvements. Your Impact: Lead on customer due diligence and KYC processes Drive AML screening activities and investigations Contribute creative solutions to complex compliance challenges Shape policy improvements that make a real difference Build strong relationships across the business You'll Thrive Here If You Have: 3+ years in financial services compliance or regulatory environment Strong knowledge of AML regulations and KYC/CDD requirements Experience in FCA regulated environments Natural problem-solving abilities and attention to detail Collaborative approach with excellent communication skills Our Client offers a friendly, inclusive environment where proactive thinking is celebrated and your development is prioritised. Ready to join a team that values your expertise? Contact Employment Specialists Ltd
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Job Opportunities Client Onboarding KYC Associate. 5 days a week in London. Administration Assistant - Financial Services. Financial Market Making Company in London. Wealth and Asset Management Firm in London. Job Details Date: 13 Jul 2023 Sector: HUMAN RESOURCES Type: Permanent Location: London Salary: £38,000 - 42,000 per annum Email: Ref: db456769 Position: Compensation/Payroll and Benefits Officer Supporting a Compensation & Benefits Manager and a small team in a City of London office. This role involves delivering administrative support across payroll, compensation, and benefits activities, working closely with the team including the Compensation & Benefits Manager and Payroll & Benefits Supervisor. Key Responsibilities Managing overseas payrolls (Denmark, Sweden, Netherlands) - all outsourced. Reconciliation of payroll data from overseas offices. Supporting UK payrolls (headcount 800). Data entry for new starters, leavers, transfers. Producing statutory calculations: Tax, NI, SMP, SSP. Benefits administration: new starters, leavers, transfers. Benefits reconciliation and liaising with HMRC and benefits providers. Creating payroll reports and handling annual audit requests. Responding to payroll queries and escalating as needed. Running end-to-end payroll including RTI submissions. Handling Year End P60s, P11Ds, and other ad hoc duties. Candidate Requirements Knowledge of ResourceLink Payroll system is preferable. Experience in payroll administration. Excellent Microsoft Excel skills. Ability to maintain confidentiality and exercise discretion. Strong problem-solving and judgment skills. Excellent organizational skills and ability to work under pressure. Ability to handle multiple tasks and meet deadlines. High attention to detail and accuracy. Proactive approach to meet deadlines.
Jun 20, 2025
Full time
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Job Opportunities Client Onboarding KYC Associate. 5 days a week in London. Administration Assistant - Financial Services. Financial Market Making Company in London. Wealth and Asset Management Firm in London. Job Details Date: 13 Jul 2023 Sector: HUMAN RESOURCES Type: Permanent Location: London Salary: £38,000 - 42,000 per annum Email: Ref: db456769 Position: Compensation/Payroll and Benefits Officer Supporting a Compensation & Benefits Manager and a small team in a City of London office. This role involves delivering administrative support across payroll, compensation, and benefits activities, working closely with the team including the Compensation & Benefits Manager and Payroll & Benefits Supervisor. Key Responsibilities Managing overseas payrolls (Denmark, Sweden, Netherlands) - all outsourced. Reconciliation of payroll data from overseas offices. Supporting UK payrolls (headcount 800). Data entry for new starters, leavers, transfers. Producing statutory calculations: Tax, NI, SMP, SSP. Benefits administration: new starters, leavers, transfers. Benefits reconciliation and liaising with HMRC and benefits providers. Creating payroll reports and handling annual audit requests. Responding to payroll queries and escalating as needed. Running end-to-end payroll including RTI submissions. Handling Year End P60s, P11Ds, and other ad hoc duties. Candidate Requirements Knowledge of ResourceLink Payroll system is preferable. Experience in payroll administration. Excellent Microsoft Excel skills. Ability to maintain confidentiality and exercise discretion. Strong problem-solving and judgment skills. Excellent organizational skills and ability to work under pressure. Ability to handle multiple tasks and meet deadlines. High attention to detail and accuracy. Proactive approach to meet deadlines.
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate 5 days a week in Administration Assistant - Financial Services Our client is a Financial Market making company in Our client is a Wealth and Asset Management firm in Date: 25 Oct 2023 Sector: HUMAN RESOURCES Type: Contract Location: London Salary: £40,000 - 50,000 per annum Email: Ref: BT662 Payroll Officer - Star This well-established accountants and consultants have an excellent market reputation and an extremely friendly work environment. They are now looking for an experienced payroll officer with Star or Iris knowledge to join them on a two to three month initial contract working twenty-one hours per week. The successful candidate will be responsible for processing and administering weekly and monthly payrolls for a set of clients, ensuring a professional service is provided at all times. Duties Process client payrolls accurately and promptly, following payroll procedures and using designated software. Manage a portfolio of clients, including meetings at client premises and conference calls. Prepare and distribute monthly payslips for employees and directors. Assist in arranging payments for wages, salaries, and statutory payments timely and in accordance with agreements and laws. Ensure statutory filings are completed within deadlines. Prepare Year End returns, including P60s, P11Ds, and PSAs, ensuring timely submission. Coordinate schedules to ensure timely receipt and passing of information to HMRC. Perform quality assurance and resolve discrepancies. Provide guidance and answer queries from Payroll Assistants. Liaise with HMRC and other agencies for queries. Set up new PAYE schemes with HMRC.
Jun 20, 2025
Full time
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate 5 days a week in Administration Assistant - Financial Services Our client is a Financial Market making company in Our client is a Wealth and Asset Management firm in Date: 25 Oct 2023 Sector: HUMAN RESOURCES Type: Contract Location: London Salary: £40,000 - 50,000 per annum Email: Ref: BT662 Payroll Officer - Star This well-established accountants and consultants have an excellent market reputation and an extremely friendly work environment. They are now looking for an experienced payroll officer with Star or Iris knowledge to join them on a two to three month initial contract working twenty-one hours per week. The successful candidate will be responsible for processing and administering weekly and monthly payrolls for a set of clients, ensuring a professional service is provided at all times. Duties Process client payrolls accurately and promptly, following payroll procedures and using designated software. Manage a portfolio of clients, including meetings at client premises and conference calls. Prepare and distribute monthly payslips for employees and directors. Assist in arranging payments for wages, salaries, and statutory payments timely and in accordance with agreements and laws. Ensure statutory filings are completed within deadlines. Prepare Year End returns, including P60s, P11Ds, and PSAs, ensuring timely submission. Coordinate schedules to ensure timely receipt and passing of information to HMRC. Perform quality assurance and resolve discrepancies. Provide guidance and answer queries from Payroll Assistants. Liaise with HMRC and other agencies for queries. Set up new PAYE schemes with HMRC.
Quick Registration First Name Last Name e-mail Phone Sector Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate. 5 days a week in Administration Assistant - Financial Services Our client is a Financial Market making company in Our client is a Wealth and Asset Management firm in Our client is looking for a Compensation/Payroll and Benefits Officer to support a Compensation and Benefits Manager and small team 4 days in office - 1 day from home. The person in this role will be responsible for delivering first-class administrative support to the payroll team, supporting across payroll, compensation, and benefits activities. The team comprises the Compensation & Benefits Manager and Payroll and Benefits Supervisor, who you will work closely with. We are seeking a very strong administrator, who is analytical in thinking, highly numerate, and has excellent MS Office skills, especially Excel. You will be a self-starter, committed, with a high focus on accuracy, able to work to deadlines. Previous administration experience within a payroll team will be advantageous. What you'll be doing Data entry for new starters, leavers, and transfers. Processing employee changes for various payrolls, including overseas. Helping to produce statutory calculations - Tax, NI, SMP, SSP. Providing assistance with benefits administration (e.g., updating schemes with new starters, leavers, transfers, and employee data changes; assisting with renewals of schemes). Liaising with HMRC and Third-Party Benefits Providers. Timesheet and overtime entry. Supporting audit processes. Being a point of contact for the payroll team, responding to queries, and escalating where necessary. General administrative tasks including filing, scanning, and handling post. Running payroll end-to-end, including RTI submissions. Assisting with Year-End P60s and P11Ds. Additional duties as required to meet business needs. WORKING HOURS: Monday to Friday, 9am - 5:30pm (with flexibility). This role could be suitable for a parent returning to work. WHAT WE ARE LOOKING FOR: Knowledge of ResourceLink Payroll system is preferable. Experience in payroll administration. Excellent Microsoft Excel skills. Ability to maintain confidentiality and exercise discretion. Excellent problem-solving and judgment skills. Strong organizational skills and ability to work under pressure. Ability to handle and prioritize multiple tasks and meet deadlines. High attention to detail and accuracy in reviewing payroll, reports, and HR systems. Proactive approach to ensure all deadlines are met.
Jun 19, 2025
Full time
Quick Registration First Name Last Name e-mail Phone Sector Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate. 5 days a week in Administration Assistant - Financial Services Our client is a Financial Market making company in Our client is a Wealth and Asset Management firm in Our client is looking for a Compensation/Payroll and Benefits Officer to support a Compensation and Benefits Manager and small team 4 days in office - 1 day from home. The person in this role will be responsible for delivering first-class administrative support to the payroll team, supporting across payroll, compensation, and benefits activities. The team comprises the Compensation & Benefits Manager and Payroll and Benefits Supervisor, who you will work closely with. We are seeking a very strong administrator, who is analytical in thinking, highly numerate, and has excellent MS Office skills, especially Excel. You will be a self-starter, committed, with a high focus on accuracy, able to work to deadlines. Previous administration experience within a payroll team will be advantageous. What you'll be doing Data entry for new starters, leavers, and transfers. Processing employee changes for various payrolls, including overseas. Helping to produce statutory calculations - Tax, NI, SMP, SSP. Providing assistance with benefits administration (e.g., updating schemes with new starters, leavers, transfers, and employee data changes; assisting with renewals of schemes). Liaising with HMRC and Third-Party Benefits Providers. Timesheet and overtime entry. Supporting audit processes. Being a point of contact for the payroll team, responding to queries, and escalating where necessary. General administrative tasks including filing, scanning, and handling post. Running payroll end-to-end, including RTI submissions. Assisting with Year-End P60s and P11Ds. Additional duties as required to meet business needs. WORKING HOURS: Monday to Friday, 9am - 5:30pm (with flexibility). This role could be suitable for a parent returning to work. WHAT WE ARE LOOKING FOR: Knowledge of ResourceLink Payroll system is preferable. Experience in payroll administration. Excellent Microsoft Excel skills. Ability to maintain confidentiality and exercise discretion. Excellent problem-solving and judgment skills. Strong organizational skills and ability to work under pressure. Ability to handle and prioritize multiple tasks and meet deadlines. High attention to detail and accuracy in reviewing payroll, reports, and HR systems. Proactive approach to ensure all deadlines are met.
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate. 5 days a week in the office. Administration Assistant - Financial Services Our client is a Financial Market making company. Our client is a Wealth and Asset Management firm. Our client is seeking a Compensation/Payroll and Benefits Officer to support a Compensation and Benefits Manager and a small team. This is an office-based role in the City of London. The role involves delivering administrative support to the payroll team, including activities related to payroll, compensation, and benefits. The team consists of the Compensation & Benefits Manager and Payroll and Benefits Supervisor, with whom you will work closely. We are looking for a highly organized administrator who is analytical, numerate, and proficient in MS Office, especially Excel. The ideal candidate is a self-starter, committed, accurate, and able to meet deadlines. Previous experience in payroll administration is advantageous. Responsibilities include: Data entry for new starters, leavers, and transfers. Processing employee changes across various payrolls, including overseas. Assisting with statutory calculations such as Tax, NI, SMP, SSP. Supporting benefits administration, updating schemes, and renewals. Liaising with HMRC and third-party benefits providers. Timesheet and overtime entry. Supporting audit processes. Responding to payroll queries and escalating when necessary. General administrative tasks: filing, scanning, handling post. Running payroll end-to-end, including RTI submissions. Assisting with Year-End P60s and P11Ds. Performing additional duties as required. Working hours: Monday to Friday, 9am - 5:30pm (flexible). This role is suitable for a parent returning to work. Requirements: Knowledge of ResourceLink Payroll system (preferable). Experience in payroll administration. Excellent Excel skills. Ability to maintain confidentiality and exercise discretion. Strong problem-solving and judgment skills. Excellent organizational skills and ability to work under pressure. Ability to handle multiple tasks and meet deadlines. High attention to detail and accuracy. Proactive approach to meeting deadlines.
Jun 19, 2025
Full time
Quick Registration: First Name , Last Name , e-mail , Phone , Sector, Location Our client is a Global Financial Broking firm in London. Client Onboarding KYC Associate. 5 days a week in the office. Administration Assistant - Financial Services Our client is a Financial Market making company. Our client is a Wealth and Asset Management firm. Our client is seeking a Compensation/Payroll and Benefits Officer to support a Compensation and Benefits Manager and a small team. This is an office-based role in the City of London. The role involves delivering administrative support to the payroll team, including activities related to payroll, compensation, and benefits. The team consists of the Compensation & Benefits Manager and Payroll and Benefits Supervisor, with whom you will work closely. We are looking for a highly organized administrator who is analytical, numerate, and proficient in MS Office, especially Excel. The ideal candidate is a self-starter, committed, accurate, and able to meet deadlines. Previous experience in payroll administration is advantageous. Responsibilities include: Data entry for new starters, leavers, and transfers. Processing employee changes across various payrolls, including overseas. Assisting with statutory calculations such as Tax, NI, SMP, SSP. Supporting benefits administration, updating schemes, and renewals. Liaising with HMRC and third-party benefits providers. Timesheet and overtime entry. Supporting audit processes. Responding to payroll queries and escalating when necessary. General administrative tasks: filing, scanning, handling post. Running payroll end-to-end, including RTI submissions. Assisting with Year-End P60s and P11Ds. Performing additional duties as required. Working hours: Monday to Friday, 9am - 5:30pm (flexible). This role is suitable for a parent returning to work. Requirements: Knowledge of ResourceLink Payroll system (preferable). Experience in payroll administration. Excellent Excel skills. Ability to maintain confidentiality and exercise discretion. Strong problem-solving and judgment skills. Excellent organizational skills and ability to work under pressure. Ability to handle multiple tasks and meet deadlines. High attention to detail and accuracy. Proactive approach to meeting deadlines.
We are inviting applications for Relationship Officers role for an International Bank based in London. Job Purpose: Business generation through the branch channels. Manage, acquireand grow relationships of key customers of the Branch. Adherence to compliance policies and organizations standard operating procedures. Uundertaking projects and assignment from time to time as directed by Supervisor. Area of Responsibility: Lead generation and acquisition of bank products through for Branch Channel. To identify potential Business Banking Customers, offer products and services in order to increase customer base. Achievement of Business Targets as per timelines. To maintain relationship with existing Business account holders to generate business opportunities in Trade Services & Property Financing basis needs. To prospect for new clients for Accounts and Deposits through reference generation and approved calling activity in order to increase client base. To enhance relationship value of existing customers and suggesting products in accordance to their requirement. Acquire new relationships to increase customer base and business To understand the market needs and give feedback to the Product Development Team to plug the product gaps. Ensuring requisite compliance with all applicable rules and regulations including specifically KYC, AML requirements in line with the policies and procedures of Bank Job Authorities : People Related :Interaction with Team members, Customer Service Manager, Branch Manager, Marketing Personnel, Compliance Personnel, Operations Personnel Operational Related: Adhere to all policies and procedures for transactional banking, AML and KYC.
Jun 19, 2025
Full time
We are inviting applications for Relationship Officers role for an International Bank based in London. Job Purpose: Business generation through the branch channels. Manage, acquireand grow relationships of key customers of the Branch. Adherence to compliance policies and organizations standard operating procedures. Uundertaking projects and assignment from time to time as directed by Supervisor. Area of Responsibility: Lead generation and acquisition of bank products through for Branch Channel. To identify potential Business Banking Customers, offer products and services in order to increase customer base. Achievement of Business Targets as per timelines. To maintain relationship with existing Business account holders to generate business opportunities in Trade Services & Property Financing basis needs. To prospect for new clients for Accounts and Deposits through reference generation and approved calling activity in order to increase client base. To enhance relationship value of existing customers and suggesting products in accordance to their requirement. Acquire new relationships to increase customer base and business To understand the market needs and give feedback to the Product Development Team to plug the product gaps. Ensuring requisite compliance with all applicable rules and regulations including specifically KYC, AML requirements in line with the policies and procedures of Bank Job Authorities : People Related :Interaction with Team members, Customer Service Manager, Branch Manager, Marketing Personnel, Compliance Personnel, Operations Personnel Operational Related: Adhere to all policies and procedures for transactional banking, AML and KYC.
Sewell Wallis is recruiting for a global firm in the heart of Sheffield, South Yorkshire. This business is operating in 40+ countries and has well over 50 offices worldwide. Due to expansion, they're looking for an Anti Money Laundering Analyst to join their team. This is a 24-month fixed-term contract role and an excellent opportunity for someone looking to start their career in Risk and Compliance. We offer hybrid working for this job. What will you be doing? In this key AML Analyst role, you will work within the Monitoring Team which is responsible for the administration of the ongoing monitoring of the client database. The primary focus of this team is to ensure client due diligence held on file is up to date, accurate and meets our Anti-Money Laundering and Counter Terrorist Financing responsibilities. Assessing the risk profile of existing clients and whether there have been any changes. Liaising with Partners on client due diligence issues. Running company searches and press searches. Supporting the Deputy Money Laundering Officer on the administration of general anti-money laundering issues and client due diligence matters. Assisting members of the AML team with research projects and day-to-day compliance with AML regulatory matters as they arise. What skills are we looking for? Educated to degree level and/or qualified in KYC/Compliance and have worked in a professional services environment. Knowledge and understanding of the Money Laundering Regulations 2017 and the EU's 5th Money Laundering Directive. Sound working knowledge of Microsoft Outlook and Microsoft Excel. Ability to analyse, research and make informed decisions. A solution driven approach with the ability to take a practical, common-sense approach to resolve issues. Excellent attention to detail and accuracy. Good time management skills to prioritise workloads, and the ability to manage multiple tasks simultaneously. Excellent verbal, written and face-to-face communication skills. Desire to work in a team but also self-motivated. Strong organisational skills and ability to prioritise. Enthusiastic, positive and committed team member. What's on offer? Working from home a few days per week. Cycle to work scheme. 50% towards your gym membership. Bonus scheme. 25 days holiday. Loyalty awards. If you are interested in this role, apply below or contact Lewis Walker for more information. To apply please send your CV, quoting our reference and specifying which website you saw this position advertised on. Due to the high volume of applications please accept that if we have not responded to your application within seven days, your application has not been successful. Sewell Wallis is a specialist recruitment company with a vast amount of experience in our industry we offer permanent, temporary and interim recruitment support for accounting and finance, human resources and business support positions. We recruit at all levels within finance from Purchase Ledger Administrator and Credit Controller level through to Financial Controller and Director positions. With offices in Sheffield and Leeds, we are well situated to cover all of South Yorkshire, West Yorkshire and Manchester. Please visit our website for more information on accountancy and finance jobs and human resources or business support positions.
Jun 10, 2025
Contractor
Sewell Wallis is recruiting for a global firm in the heart of Sheffield, South Yorkshire. This business is operating in 40+ countries and has well over 50 offices worldwide. Due to expansion, they're looking for an Anti Money Laundering Analyst to join their team. This is a 24-month fixed-term contract role and an excellent opportunity for someone looking to start their career in Risk and Compliance. We offer hybrid working for this job. What will you be doing? In this key AML Analyst role, you will work within the Monitoring Team which is responsible for the administration of the ongoing monitoring of the client database. The primary focus of this team is to ensure client due diligence held on file is up to date, accurate and meets our Anti-Money Laundering and Counter Terrorist Financing responsibilities. Assessing the risk profile of existing clients and whether there have been any changes. Liaising with Partners on client due diligence issues. Running company searches and press searches. Supporting the Deputy Money Laundering Officer on the administration of general anti-money laundering issues and client due diligence matters. Assisting members of the AML team with research projects and day-to-day compliance with AML regulatory matters as they arise. What skills are we looking for? Educated to degree level and/or qualified in KYC/Compliance and have worked in a professional services environment. Knowledge and understanding of the Money Laundering Regulations 2017 and the EU's 5th Money Laundering Directive. Sound working knowledge of Microsoft Outlook and Microsoft Excel. Ability to analyse, research and make informed decisions. A solution driven approach with the ability to take a practical, common-sense approach to resolve issues. Excellent attention to detail and accuracy. Good time management skills to prioritise workloads, and the ability to manage multiple tasks simultaneously. Excellent verbal, written and face-to-face communication skills. Desire to work in a team but also self-motivated. Strong organisational skills and ability to prioritise. Enthusiastic, positive and committed team member. What's on offer? Working from home a few days per week. Cycle to work scheme. 50% towards your gym membership. Bonus scheme. 25 days holiday. Loyalty awards. If you are interested in this role, apply below or contact Lewis Walker for more information. To apply please send your CV, quoting our reference and specifying which website you saw this position advertised on. Due to the high volume of applications please accept that if we have not responded to your application within seven days, your application has not been successful. Sewell Wallis is a specialist recruitment company with a vast amount of experience in our industry we offer permanent, temporary and interim recruitment support for accounting and finance, human resources and business support positions. We recruit at all levels within finance from Purchase Ledger Administrator and Credit Controller level through to Financial Controller and Director positions. With offices in Sheffield and Leeds, we are well situated to cover all of South Yorkshire, West Yorkshire and Manchester. Please visit our website for more information on accountancy and finance jobs and human resources or business support positions.
Als Compliance Officer - Geldwäscheprävention (m/w/d) in unserem Team am Standort Augsburg, Frankfurt, Berlin oder Hamburg spielst Du dabei eine entscheidende Rolle. Deine Aufgaben: Du berätst in Deiner Funktion als Geldwäschebeauftragter die Leitungsorgane und Fachabteilungen und stellst die Einhaltung der gesetzlichen und aufsichtsrechtlichen Bestimmungen sowie der internen Policies und Procedures im Bereich AML & Sanctions sicher. Auch erstellst Du lokale und globale Policies und Procedures im Bereich AML & Sanctions und überprüfst und entwickelst diese regelmäßig weiter. Regelmäßige Durchführung von Geldwäsche-Risikoanalysen, sowie die Erstellung von Geldwäsche-Berichten und weiterer Berichte für das Management gehört ebenfalls zu Deinen Tätigkeiten. Auch entwickelst Du fortlaufend das Compliance Monitoring Programm weiter und führst regelmäßige Prüfungen zwecks Überwachung der Einhaltung gesetzlicher und aufsichtsrechtlicher Anforderungen durch. Du führst regelmäßig Mitarbeiterschulungen durch und gibst Geldwäscheverdachtsmeldungen ab. Du bist verantwortlich für die Durchführung von KYC-Checks. Die Kommunikation mit Aufsichtsbehörden und die Koordination interner und externer Prüfungen sowie Vor- und Nachbereitung der Prüfungen runden Dein Aufgabengebiet ab. Was du mitbringst: Ein abgeschlossenes Studium der Rechts- oder Wirtschaftswissenschaften bzw. eine vergleichbare Ausbildung bringst Du mit. Du besitzt mindestens 5 Jahre praktische Erfahrung als (stellvertretender) Geldwäschebeauftragter bei einem regulierten Unternehmen, idealerweise bei einer Kapitalverwaltungsgesellschaft. Fundierte Kenntnisse der einschlägigen gesetzlichen und aufsichtsrechtlichen Vorschriften zeichnen Dich aus. Deine Arbeitsweise ist geprägt durch eigenverantwortliches, proaktives und zuverlässiges Handeln. Dank Deiner Kommunikationsstärke in deutscher und englischer Sprache arbeitest Du gerne auch mit internationalen Kolleginnen und Kollegen zusammen. Was wir bieten: Markt- und leistungsorientiertes Vergütungspaket. Hybrides Arbeitsumfeld und mobiles Arbeiten. Vielfältige interne Weiterbildungsmöglichkeiten (bspw. ESG) über die PATRIZIA-Academy sowie Mentoren-Programme. Integrativer und chancengleicher Arbeitsplatz (inkl. ED&I Committee) in einem internationalen Umfeld. Benefits im Bereich Mental Health & Fitness. Zwei extra Urlaubstage für soziales Engagement (z.B. für die PATRIZIA Foundation). Möglichkeit, sich in verschiedenen Mitarbeiter-Initiativen zu engagieren (NextGen, LGBTQ+ Alliance, Female Advance, Parents & Carer Network etc.). Mental-Health-Awareness Programm. Werde Teil unseres Teams! Du denkst positiv und möchtest die Zukunft gestalten? Dann lass uns gemeinsam neue Wege gehen, mutig sein und Dein persönliches Potenzial entwickeln. Bewerbe Dich online über unser Jobportal (). Wir freuen uns auf Dich! Wir sind stolz darauf, ein Arbeitsplatz mit Chancengleichheit zu sein. Bei PATRIZIA leben wir Offenheit und Toleranz in internationalem Umfeld. Die Meinung jedes Einzelnen zählt. Wir vertrauen einander und setzen in unserer täglichen Zusammenarbeit und unserem Handeln auf die Grundsätze von Equity, Diversity & Inclusion. PATRIZIA SE Human Resources Fuggerstraße Augsburg -218
Feb 20, 2025
Full time
Als Compliance Officer - Geldwäscheprävention (m/w/d) in unserem Team am Standort Augsburg, Frankfurt, Berlin oder Hamburg spielst Du dabei eine entscheidende Rolle. Deine Aufgaben: Du berätst in Deiner Funktion als Geldwäschebeauftragter die Leitungsorgane und Fachabteilungen und stellst die Einhaltung der gesetzlichen und aufsichtsrechtlichen Bestimmungen sowie der internen Policies und Procedures im Bereich AML & Sanctions sicher. Auch erstellst Du lokale und globale Policies und Procedures im Bereich AML & Sanctions und überprüfst und entwickelst diese regelmäßig weiter. Regelmäßige Durchführung von Geldwäsche-Risikoanalysen, sowie die Erstellung von Geldwäsche-Berichten und weiterer Berichte für das Management gehört ebenfalls zu Deinen Tätigkeiten. Auch entwickelst Du fortlaufend das Compliance Monitoring Programm weiter und führst regelmäßige Prüfungen zwecks Überwachung der Einhaltung gesetzlicher und aufsichtsrechtlicher Anforderungen durch. Du führst regelmäßig Mitarbeiterschulungen durch und gibst Geldwäscheverdachtsmeldungen ab. Du bist verantwortlich für die Durchführung von KYC-Checks. Die Kommunikation mit Aufsichtsbehörden und die Koordination interner und externer Prüfungen sowie Vor- und Nachbereitung der Prüfungen runden Dein Aufgabengebiet ab. Was du mitbringst: Ein abgeschlossenes Studium der Rechts- oder Wirtschaftswissenschaften bzw. eine vergleichbare Ausbildung bringst Du mit. Du besitzt mindestens 5 Jahre praktische Erfahrung als (stellvertretender) Geldwäschebeauftragter bei einem regulierten Unternehmen, idealerweise bei einer Kapitalverwaltungsgesellschaft. Fundierte Kenntnisse der einschlägigen gesetzlichen und aufsichtsrechtlichen Vorschriften zeichnen Dich aus. Deine Arbeitsweise ist geprägt durch eigenverantwortliches, proaktives und zuverlässiges Handeln. Dank Deiner Kommunikationsstärke in deutscher und englischer Sprache arbeitest Du gerne auch mit internationalen Kolleginnen und Kollegen zusammen. Was wir bieten: Markt- und leistungsorientiertes Vergütungspaket. Hybrides Arbeitsumfeld und mobiles Arbeiten. Vielfältige interne Weiterbildungsmöglichkeiten (bspw. ESG) über die PATRIZIA-Academy sowie Mentoren-Programme. Integrativer und chancengleicher Arbeitsplatz (inkl. ED&I Committee) in einem internationalen Umfeld. Benefits im Bereich Mental Health & Fitness. Zwei extra Urlaubstage für soziales Engagement (z.B. für die PATRIZIA Foundation). Möglichkeit, sich in verschiedenen Mitarbeiter-Initiativen zu engagieren (NextGen, LGBTQ+ Alliance, Female Advance, Parents & Carer Network etc.). Mental-Health-Awareness Programm. Werde Teil unseres Teams! Du denkst positiv und möchtest die Zukunft gestalten? Dann lass uns gemeinsam neue Wege gehen, mutig sein und Dein persönliches Potenzial entwickeln. Bewerbe Dich online über unser Jobportal (). Wir freuen uns auf Dich! Wir sind stolz darauf, ein Arbeitsplatz mit Chancengleichheit zu sein. Bei PATRIZIA leben wir Offenheit und Toleranz in internationalem Umfeld. Die Meinung jedes Einzelnen zählt. Wir vertrauen einander und setzen in unserer täglichen Zusammenarbeit und unserem Handeln auf die Grundsätze von Equity, Diversity & Inclusion. PATRIZIA SE Human Resources Fuggerstraße Augsburg -218
Compliance Operations Manager, Money Laundering Reporting Officer UK Tesla is accelerating the world's transition to sustainable energy. Revolutionary strategies and products were developed within a few years and successfully launched on a large scale. This is only possible through extraordinary speed, innovation, and efficiency. One of the core challenges of the European in-house leasing and financing entities ("captives") is the management of the governance, risk, compliance & AML functions. Our EMEA Financial Services team is hiring a Compliance Operations Manager EMEA to join their team. The focus of the role will be to ensure oversight, guidance, and putting into practice policies for compliance matters such as Consumer Duty, complaints, contract updates, fraud, training programs, regulatory reporting, amongst other topics. Extensive knowledge about all topics is not required, but the ability and willingness to research and collaborate with internal and external teams to enhance knowledge is a must. It is expected that the Compliance Operations Manager is embedded into the day-to-day operations of the teams and processes they support. As new topics arise, whether through operational changes or changes to the regulatory environment, the Compliance Operations Manager will be expected to scope out projects, create plans of action for operational teams, as well as requirements for our digital product teams and coordinate requests from other functions for input. They will take ownership of projects in full, to ensure that all requirements are fully scoped and met. In addition, this role serves as the Money Laundering Reporting Officer (MLRO) for Tesla Financial Services Limited. As the MLRO, they will play an important role in ensuring the company's regulatory compliance, especially regarding the anti-money laundering (AML) setup. The focus will be on Tesla's finance company in the UK and providing support to Germany and any future EMEA markets. What You'll Do Conduct customer due diligence (CDD) checks and ongoing in-life monitoring. Efficiently develop EMEA compliance setup regarding private and commercial customers, alongside the implementation of any controls. Regular and ad-hoc reporting for general compliance topics and anti-money laundering (AML) related matters. Provide support to operational teams to ensure processes are completed in accordance with defined policies and to quickly identify any gaps that may not meet regulatory requirements. Conduct and support internal and external audits, or regulatory reviews as required. Regularly review, monitor, and report KYC processes to ensure full regulatory compliance, as well as carry out overall compliance training management, including design, presentation, tracking, and reporting. Scope out and provide compliance requirements in new projects or IT system changes, being clear on what the requirements are and using the regulation to support the requests made. The ability to test and provide sign-off that these requirements are met and working as intended. Carry out assessments, monitoring, and documentation of internal controls in the areas of compliance, AML, prevention of terrorist financing, and other criminal activities. Conduct periodic money laundering and terrorist financing risk assessments. Management advisory on legal challenges and regulations, and review and update of associated written framework. Provide guidance to management and staff on AML-related issues. What You'll Bring Ideally hold a bachelor's or master's degree in law, finance, business management, or have relevant working experience. Compliance experience in the financial services industry. Thorough understanding of the regulatory environment of financial services in the UK, with an interest in other EMEA markets. An entrepreneurial hands-on mindset in a true start-up environment. Keen attention to detail, excellent analytical and organizational skills. Excellent communication skills, with business fluency in English. Willingness to travel to be on-site at Tesla locations in the UK or other EMEA markets. Tesla is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to any factor, including veteran status and disability status, protected by applicable federal, state, or local laws. Tesla is also committed to working with and providing reasonable accommodations to individuals with disabilities. Please let your recruiter know if you need an accommodation at any point during the interview process. Privacy is a top priority for Tesla. We build it into our products and view it as an essential part of our business. To understand more about the data we collect and process as part of your application, please view our Tesla Talent Privacy Notice.
Feb 19, 2025
Full time
Compliance Operations Manager, Money Laundering Reporting Officer UK Tesla is accelerating the world's transition to sustainable energy. Revolutionary strategies and products were developed within a few years and successfully launched on a large scale. This is only possible through extraordinary speed, innovation, and efficiency. One of the core challenges of the European in-house leasing and financing entities ("captives") is the management of the governance, risk, compliance & AML functions. Our EMEA Financial Services team is hiring a Compliance Operations Manager EMEA to join their team. The focus of the role will be to ensure oversight, guidance, and putting into practice policies for compliance matters such as Consumer Duty, complaints, contract updates, fraud, training programs, regulatory reporting, amongst other topics. Extensive knowledge about all topics is not required, but the ability and willingness to research and collaborate with internal and external teams to enhance knowledge is a must. It is expected that the Compliance Operations Manager is embedded into the day-to-day operations of the teams and processes they support. As new topics arise, whether through operational changes or changes to the regulatory environment, the Compliance Operations Manager will be expected to scope out projects, create plans of action for operational teams, as well as requirements for our digital product teams and coordinate requests from other functions for input. They will take ownership of projects in full, to ensure that all requirements are fully scoped and met. In addition, this role serves as the Money Laundering Reporting Officer (MLRO) for Tesla Financial Services Limited. As the MLRO, they will play an important role in ensuring the company's regulatory compliance, especially regarding the anti-money laundering (AML) setup. The focus will be on Tesla's finance company in the UK and providing support to Germany and any future EMEA markets. What You'll Do Conduct customer due diligence (CDD) checks and ongoing in-life monitoring. Efficiently develop EMEA compliance setup regarding private and commercial customers, alongside the implementation of any controls. Regular and ad-hoc reporting for general compliance topics and anti-money laundering (AML) related matters. Provide support to operational teams to ensure processes are completed in accordance with defined policies and to quickly identify any gaps that may not meet regulatory requirements. Conduct and support internal and external audits, or regulatory reviews as required. Regularly review, monitor, and report KYC processes to ensure full regulatory compliance, as well as carry out overall compliance training management, including design, presentation, tracking, and reporting. Scope out and provide compliance requirements in new projects or IT system changes, being clear on what the requirements are and using the regulation to support the requests made. The ability to test and provide sign-off that these requirements are met and working as intended. Carry out assessments, monitoring, and documentation of internal controls in the areas of compliance, AML, prevention of terrorist financing, and other criminal activities. Conduct periodic money laundering and terrorist financing risk assessments. Management advisory on legal challenges and regulations, and review and update of associated written framework. Provide guidance to management and staff on AML-related issues. What You'll Bring Ideally hold a bachelor's or master's degree in law, finance, business management, or have relevant working experience. Compliance experience in the financial services industry. Thorough understanding of the regulatory environment of financial services in the UK, with an interest in other EMEA markets. An entrepreneurial hands-on mindset in a true start-up environment. Keen attention to detail, excellent analytical and organizational skills. Excellent communication skills, with business fluency in English. Willingness to travel to be on-site at Tesla locations in the UK or other EMEA markets. Tesla is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to any factor, including veteran status and disability status, protected by applicable federal, state, or local laws. Tesla is also committed to working with and providing reasonable accommodations to individuals with disabilities. Please let your recruiter know if you need an accommodation at any point during the interview process. Privacy is a top priority for Tesla. We build it into our products and view it as an essential part of our business. To understand more about the data we collect and process as part of your application, please view our Tesla Talent Privacy Notice.
About Zeta Zeta is a Next-Gen Banking Tech company that empowers banks and fintechs to launch banking products for the future. It was founded by Bhavin Turakhia and Ramki Gaddipati in 2015. Our flagship processing platform - Zeta Tachyon - is the industry's first modern, cloud-native, and fully API-enabled stack that brings together issuance, processing, lending, core banking, fraud & risk, and many more capabilities as a single-vendor stack. 15M+ cards have been issued on our platform globally. Zeta is actively working with the largest Banks and Fintechs in multiple global markets transforming customer experience for multi-million card portfolios. Zeta has over 1700+ employees - with over 70% roles in R&D - across locations in the US, EMEA, and Asia. We raised $280 million at a $1.5 billion valuation from Softbank, Mastercard, and other investors in 2021. Learn , careers.zeta.tech , Linkedin , Twitter About the Role We are seeking a dynamic and experienced Chief Operations Officer to lead the launch and management of multiple credit card programs, focusing on both near-prime and prime segments, in the UK market. The role will lead a cross-functional team responsible for all Operations including Contact Center, Collections, Disputes, Fraud Investigations, Settlements, Payments, Fulfilment, and Control functions. We believe in leveraging Workflow engines, Decision Engines, and AI to drive operational efficiencies and ALSs. The ideal candidate has a strong foundation in Operations and Risk Management complemented by leveraging the best technology platforms to drive down cost-to-income ratios and optimize RoE. Responsibilities Hands-on experience across defining, launching, implementing and managing operations for mid to large credit card portfolios including: Collection: Define, implement and evolve collections strategy and operations, through in-house and outsourced teams. Fraud operations: Leverage sophisticated fraud detection platforms and strategies for application fraud and transaction fraud. Contact Center: Own all operations for omnichannel inbound customer support. Define processes, key KPIs and operating model. Optimize to improve both customer outcomes and cost efficiency. Financial Crime: Ensure all financial crime regulatory requirements are fulfilled and monitored. Complaints Management: Take ownership for complaints management, ensuring fair handling, and regulatory compliance. KPI and Incident management: Own the development and continuous refinement of KPIs to measure and improve operational success. Drive transparency by reporting to the CEO and board and take proactive steps in managing and resolving any operational incidents swiftly. Business Process Management: Define from scratch, monitor and manage all business processes needed to deliver a world-class credit card operation. Change and Technology transformation: Ownership of outsourced operating platforms. Manage day to day change roadmap and performance KPIs and lead the business in engaging with operations suppliers. Start-up Expertise: Bring a hands-on approach to building operations from the ground up, balancing strategic oversight with operational execution in a fast-paced, evolving environment. Supplier Management: Own, establish, manage, and optimize all supplier relationships, ensuring alignment with business objectives, cost-efficiency and scalable operation. Team Leadership & Culture: Hire for, create and establish a high-performing team of operational leaders who can "Do the right thing" for our customers and our business. Systems knowledge: In-depth knowledge of vendors and capabilities across all relevant systems including Application Processing, Loan Origination, KYC / IDV, Processing, Digital Apps, Servicing Apps, Collections, Fraud, Data management etc. Hands-on experience with Low-code / No-code Workflow engines, decision engines and case management platforms. Skills Experience in defining and running manual and automation processes to optimize operations including Collection Operations, Contact Center Operations, Fraud Operations, Dispute Operations, Production Operations, Application Processing Operations, Account Operations, Settlement Operations. Engineering Mindset: Ability to operate from first principles, heavily leverages tools and technologies, high tech aptitude. In-depth knowledge and understanding of operational risk and related regulations. Hands-on, roll up your sleeves and get into the details attitude. Customer experience focused, ability to understand how processes and systems translate into customer outcomes. Operational Rigor. Leadership skills: Ability to identify, attract, inspire, train and retain the best talent and operate with a lean and efficient team. Experience and Qualifications Demonstrable experience (preferably 15+ years) across heading operational functions (Customer Support, Complaints, Collections, Fraud) for large-sized credit card portfolio. Experience in launching and scaling credit card operations from inception, preferably in a start-up or high-growth environment. Equal Opportunity Zeta is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We encourage applicants from all backgrounds, cultures, and communities to apply and believe that a diverse workforce is key to our success.
Feb 18, 2025
Full time
About Zeta Zeta is a Next-Gen Banking Tech company that empowers banks and fintechs to launch banking products for the future. It was founded by Bhavin Turakhia and Ramki Gaddipati in 2015. Our flagship processing platform - Zeta Tachyon - is the industry's first modern, cloud-native, and fully API-enabled stack that brings together issuance, processing, lending, core banking, fraud & risk, and many more capabilities as a single-vendor stack. 15M+ cards have been issued on our platform globally. Zeta is actively working with the largest Banks and Fintechs in multiple global markets transforming customer experience for multi-million card portfolios. Zeta has over 1700+ employees - with over 70% roles in R&D - across locations in the US, EMEA, and Asia. We raised $280 million at a $1.5 billion valuation from Softbank, Mastercard, and other investors in 2021. Learn , careers.zeta.tech , Linkedin , Twitter About the Role We are seeking a dynamic and experienced Chief Operations Officer to lead the launch and management of multiple credit card programs, focusing on both near-prime and prime segments, in the UK market. The role will lead a cross-functional team responsible for all Operations including Contact Center, Collections, Disputes, Fraud Investigations, Settlements, Payments, Fulfilment, and Control functions. We believe in leveraging Workflow engines, Decision Engines, and AI to drive operational efficiencies and ALSs. The ideal candidate has a strong foundation in Operations and Risk Management complemented by leveraging the best technology platforms to drive down cost-to-income ratios and optimize RoE. Responsibilities Hands-on experience across defining, launching, implementing and managing operations for mid to large credit card portfolios including: Collection: Define, implement and evolve collections strategy and operations, through in-house and outsourced teams. Fraud operations: Leverage sophisticated fraud detection platforms and strategies for application fraud and transaction fraud. Contact Center: Own all operations for omnichannel inbound customer support. Define processes, key KPIs and operating model. Optimize to improve both customer outcomes and cost efficiency. Financial Crime: Ensure all financial crime regulatory requirements are fulfilled and monitored. Complaints Management: Take ownership for complaints management, ensuring fair handling, and regulatory compliance. KPI and Incident management: Own the development and continuous refinement of KPIs to measure and improve operational success. Drive transparency by reporting to the CEO and board and take proactive steps in managing and resolving any operational incidents swiftly. Business Process Management: Define from scratch, monitor and manage all business processes needed to deliver a world-class credit card operation. Change and Technology transformation: Ownership of outsourced operating platforms. Manage day to day change roadmap and performance KPIs and lead the business in engaging with operations suppliers. Start-up Expertise: Bring a hands-on approach to building operations from the ground up, balancing strategic oversight with operational execution in a fast-paced, evolving environment. Supplier Management: Own, establish, manage, and optimize all supplier relationships, ensuring alignment with business objectives, cost-efficiency and scalable operation. Team Leadership & Culture: Hire for, create and establish a high-performing team of operational leaders who can "Do the right thing" for our customers and our business. Systems knowledge: In-depth knowledge of vendors and capabilities across all relevant systems including Application Processing, Loan Origination, KYC / IDV, Processing, Digital Apps, Servicing Apps, Collections, Fraud, Data management etc. Hands-on experience with Low-code / No-code Workflow engines, decision engines and case management platforms. Skills Experience in defining and running manual and automation processes to optimize operations including Collection Operations, Contact Center Operations, Fraud Operations, Dispute Operations, Production Operations, Application Processing Operations, Account Operations, Settlement Operations. Engineering Mindset: Ability to operate from first principles, heavily leverages tools and technologies, high tech aptitude. In-depth knowledge and understanding of operational risk and related regulations. Hands-on, roll up your sleeves and get into the details attitude. Customer experience focused, ability to understand how processes and systems translate into customer outcomes. Operational Rigor. Leadership skills: Ability to identify, attract, inspire, train and retain the best talent and operate with a lean and efficient team. Experience and Qualifications Demonstrable experience (preferably 15+ years) across heading operational functions (Customer Support, Complaints, Collections, Fraud) for large-sized credit card portfolio. Experience in launching and scaling credit card operations from inception, preferably in a start-up or high-growth environment. Equal Opportunity Zeta is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We encourage applicants from all backgrounds, cultures, and communities to apply and believe that a diverse workforce is key to our success.
London Location London Job Type Permanent Visa Employer may consider sponsoring work visa for suitable candidates from abroad depending on their experience Package Negotiable salary, discretionary bonus and good benefits package Date 6 August 2024 This is a fantastic opportunity for an experienced Investment Portfolio Financial Manager to join our client's team at a Single Family Office in London, United Kingdom. The ideal candidate will have extensive experience in Portfolio investments and finance management, and will be joining the finance department at the Deputy CFO level. Reporting directly to the Chief Finance Officer, the successful candidate will be responsible for overseeing Investment Portfolio operations from a Finance perspective. This role is office-based five days per week. Responsibilities Continuous review, design and improvement of the procedures, controls, analysis and accounting of Portfolio Investment operations within the Financial Department Development, implementation and maintenance of accounting policies, including reporting scope of accounting and reporting processes, standards, required manuals, classifications and staff training of Portfolio Investment operations within the Financial Department Development, implementation and management of accounting systems, including systems integration and unification, automation and optimisation of processes and report generation of Portfolio Investment operations within the Financial Department Day-to-day and regular (end-of-month/year/ad-hoc) management of the Finance Department accounting systems and their implementation in respect of Portfolio Investment operations Development of new and management of existing relationships and liaison with banks and other service providers in respect of Portfolio Investment operations Cash-flow management, including short - and long-term in respect of Portfolio Investment operations Development and maintenance of necessary documentary support for Portfolio Investment operations Compliance with regulatory, fiscal, financial and other local reporting of all Portfolio Investment operations Control and management of strategic and financial forecasts and budgets concerning Portfolio Investment operations Control of budgetary compliance and reporting in respect of Portfolio Investment operations Development and implementation of robust cost and financial control mechanisms with respect to Portfolio Investment operations Development tax and other fiscal structuring and policies General management of the Finance Department functions and employees during the absence of the Chief Financial Officer (CFO) Participation in key meetings with top management and clients and liaising with Portfolio Investment operations Any other responsibilities customary for the role of a Deputy Chief Financial Officer (DCFO). Requirements Bachelor's degree in Finance, Accounting, or a related field. Relevant professional qualification (e.g., CFA, ACCA) preferred Proven experience (15+ years) in portfolio investments and finance management within a similar UHNW Single Family Office, financial institution or corporation In-depth knowledge of financial regulations, including KYC, FATCA/CRS, and AML Strong analytical and problem-solving skills, with the ability to conduct investment analysis and financial modeling Excellent communication and interpersonal skills, with the ability to liaise effectively with internal and external stakeholders Proficiency in accounting software, preferably 1C, and MS Office Ability to work autonomously and collaboratively within a team. Exceptional organisational skills and attention to detail Russian language skills are a strong advantage Proven track record of delivering high-quality results in a fast-paced, dynamic environment. Job advantages Friendly and supportive international office environment with top management team Exciting projects Hands-on involving opportunities to influence outcomes and feel your potential Deputy CFO level of responsibilities Stable job opportunity Excellent bonus potential and additional perks Healthy working hours Become a part of this unique opportunity, apply now! Subscribe to e-mail notifications about new vacancies!
Feb 18, 2025
Full time
London Location London Job Type Permanent Visa Employer may consider sponsoring work visa for suitable candidates from abroad depending on their experience Package Negotiable salary, discretionary bonus and good benefits package Date 6 August 2024 This is a fantastic opportunity for an experienced Investment Portfolio Financial Manager to join our client's team at a Single Family Office in London, United Kingdom. The ideal candidate will have extensive experience in Portfolio investments and finance management, and will be joining the finance department at the Deputy CFO level. Reporting directly to the Chief Finance Officer, the successful candidate will be responsible for overseeing Investment Portfolio operations from a Finance perspective. This role is office-based five days per week. Responsibilities Continuous review, design and improvement of the procedures, controls, analysis and accounting of Portfolio Investment operations within the Financial Department Development, implementation and maintenance of accounting policies, including reporting scope of accounting and reporting processes, standards, required manuals, classifications and staff training of Portfolio Investment operations within the Financial Department Development, implementation and management of accounting systems, including systems integration and unification, automation and optimisation of processes and report generation of Portfolio Investment operations within the Financial Department Day-to-day and regular (end-of-month/year/ad-hoc) management of the Finance Department accounting systems and their implementation in respect of Portfolio Investment operations Development of new and management of existing relationships and liaison with banks and other service providers in respect of Portfolio Investment operations Cash-flow management, including short - and long-term in respect of Portfolio Investment operations Development and maintenance of necessary documentary support for Portfolio Investment operations Compliance with regulatory, fiscal, financial and other local reporting of all Portfolio Investment operations Control and management of strategic and financial forecasts and budgets concerning Portfolio Investment operations Control of budgetary compliance and reporting in respect of Portfolio Investment operations Development and implementation of robust cost and financial control mechanisms with respect to Portfolio Investment operations Development tax and other fiscal structuring and policies General management of the Finance Department functions and employees during the absence of the Chief Financial Officer (CFO) Participation in key meetings with top management and clients and liaising with Portfolio Investment operations Any other responsibilities customary for the role of a Deputy Chief Financial Officer (DCFO). Requirements Bachelor's degree in Finance, Accounting, or a related field. Relevant professional qualification (e.g., CFA, ACCA) preferred Proven experience (15+ years) in portfolio investments and finance management within a similar UHNW Single Family Office, financial institution or corporation In-depth knowledge of financial regulations, including KYC, FATCA/CRS, and AML Strong analytical and problem-solving skills, with the ability to conduct investment analysis and financial modeling Excellent communication and interpersonal skills, with the ability to liaise effectively with internal and external stakeholders Proficiency in accounting software, preferably 1C, and MS Office Ability to work autonomously and collaboratively within a team. Exceptional organisational skills and attention to detail Russian language skills are a strong advantage Proven track record of delivering high-quality results in a fast-paced, dynamic environment. Job advantages Friendly and supportive international office environment with top management team Exciting projects Hands-on involving opportunities to influence outcomes and feel your potential Deputy CFO level of responsibilities Stable job opportunity Excellent bonus potential and additional perks Healthy working hours Become a part of this unique opportunity, apply now! Subscribe to e-mail notifications about new vacancies!
About Javelin Javelin Global Commodities is a leading global commodities marketing, trading, logistics services and investment firm with head offices in London and wider global offices in Dallas, New York, San Diego, St Louis, Switzerland, India, Australia, Singapore, Canada and Poland. Javelin was founded in 2015 and now operates across 100 countries and six continents with respect to more than 20 different commodities across thermal coal, metallurgical coal, iron ore, steel scrap, metals, hydrocarbons, freight, softs, and renewables. Established in 2015, Javelin employs over 190 people and is a unique place to grow your career. We take pride in our values, global reach, meritocratic culture and strong work ethic. Our success over the years has been built on our guiding principles of customer service, creativity, transparency, integrity, and responsibility. Whilst our footprint grows, we still foster a small-company atmosphere. We have a flat company structure and encourage collaboration across all seniority levels, teams and locations to generate the best ideas. Javelin has a dedicated strategy to support local and meaningful charities through volunteer days, donation matching, a 'give as you earn' scheme and other fundraising activities. Discover more at Javelin Commodities . The role Javelin Global Commodities is seeking a seasoned Corporate Lawyer to join our dynamic legal team. You will report to the General Counsel and will work closely with key internal stakeholders and senior management such as the Chief Risk Officer, Head of Tax, Chief of Staff and Compliance Officer. A proactive character is required, and you must have demonstrable experience in and/or familiarity with corporate governance. While in-house experience is preferred, it is not a mandatory requirement. As a Corporate Lawyer at Javelin Global Commodities, you will play a pivotal role in shaping the legal framework of our corporate structure and ensuring the smooth operation of our legal processes. Key Responsibilities: Internal Corporate Reorganisation: Lead and manage internal corporate reorganisation initiatives to streamline operations, enhance efficiency, and ensure alignment with business goals. Work closely with various departments to implement reorganisation plans effectively, ensuring minimal disruption to business operations and maintaining compliance with legal standards. Review and amend constitutional documents as required to meet the evolving needs of the growing company. Manage inter-Group share capitalisations, share repurchases and dividend payments. Assist Chief of Staff and HR with the maintenance of the company employee share scheme, providing guidance to employees on main terms of the share scheme and liaising with the share scheme trustee. Subsidiary Establishment and Closure: Lead the process of setting up subsidiaries, including legal formation, registration, operation and ensuring continuing compliance with local and international laws. Coordinate with internal teams and external advisors to ensure seamless subsidiary integration. Lead the process of closing inactive subsidiaries. Maintain an up-to-date Group structure chart, reflecting the newly incorporated subsidiaries and closures within the Group. Board and Shareholder Meetings: Arrange and coordinate board and shareholder meetings. Draft and review agendas/minutes and resolutions for meetings, ensuring legal compliance and proper documentation. Send requisite notices to external shareholder(s). Coordinate appointment, resignation and removal of directors/secretaries and ensure POAs remain valid or terminated, as business needs require. Policy Drafting/Contract Review and Management: Draft internal policies and procedures related to corporate matters, HR matters, compliance and related matters. Draft, review, negotiate, and amend employment/consultancy contracts, office lease agreements, service agreements, vendor and other supplier agreements, as well as software provider agreements to protect and align with the company's interests and ensure compliance with applicable laws. Provide guidance on contractual obligations, risks, and terms and conditions. Account Opening Processes: Handle the legal aspects of the account opening processes with financial institutions in various jurisdictions. Ensure compliance with KYC (Know Your Customer) and AML (Anti-Money Laundering) regulations. Corporate Filings/Business Licences: Track and submit all annual, regular and ad-hoc statutory filings with Companies House and its equivalent in all jurisdictions relevant to the Group, with regulators and other licensing bodies, as required, to ensure that all filings are accurate, timely, and compliant with statutory requirements. Maintain a register of business licences across the Group, and ensure timely renewal. Data Protection: Monitor changes in relevant data protection and privacy legislation and work with key internal stakeholders to develop and maintain policies and procedures in compliance with the GDPR and other applicable local data protection laws. Review contracts to assess data protection impact and collaborate with the team to implement processes to ensure compliance with all relevant data protection laws. Maintenance of corporate records/Manage local secretarial bodies: Maintain the statutory books of each subsidiary within the Group, including registers of members, directors, secretaries and share certificates (if applicable). Monitor changes in relevant legislation and the regulatory environment across all jurisdictions in which the Group operates and take appropriate action including providing internal update/training where required. Assist with the appointment of local corporate secretaries, and/or auditors and/or global service providers for local subsidiaries. Skills and Experience Required: A qualified lawyer with excellent academic credentials and corporate law focus in the UK or another EEA equivalent jurisdiction. Demonstrable experience and strong understanding of corporate matters, corporate governance and compliance requirements. PQE is not a deciding factor. Ability to work and produce high standards of work product in a busy legal department dealing with a range of other legal matters including - general corporate, compliance, regulatory, HR / employment and finance issues. Excellent communication and interpersonal skills with the ability to communicate legal issues in a business-friendly way and influence key stakeholders. Time management skills.
Feb 17, 2025
Full time
About Javelin Javelin Global Commodities is a leading global commodities marketing, trading, logistics services and investment firm with head offices in London and wider global offices in Dallas, New York, San Diego, St Louis, Switzerland, India, Australia, Singapore, Canada and Poland. Javelin was founded in 2015 and now operates across 100 countries and six continents with respect to more than 20 different commodities across thermal coal, metallurgical coal, iron ore, steel scrap, metals, hydrocarbons, freight, softs, and renewables. Established in 2015, Javelin employs over 190 people and is a unique place to grow your career. We take pride in our values, global reach, meritocratic culture and strong work ethic. Our success over the years has been built on our guiding principles of customer service, creativity, transparency, integrity, and responsibility. Whilst our footprint grows, we still foster a small-company atmosphere. We have a flat company structure and encourage collaboration across all seniority levels, teams and locations to generate the best ideas. Javelin has a dedicated strategy to support local and meaningful charities through volunteer days, donation matching, a 'give as you earn' scheme and other fundraising activities. Discover more at Javelin Commodities . The role Javelin Global Commodities is seeking a seasoned Corporate Lawyer to join our dynamic legal team. You will report to the General Counsel and will work closely with key internal stakeholders and senior management such as the Chief Risk Officer, Head of Tax, Chief of Staff and Compliance Officer. A proactive character is required, and you must have demonstrable experience in and/or familiarity with corporate governance. While in-house experience is preferred, it is not a mandatory requirement. As a Corporate Lawyer at Javelin Global Commodities, you will play a pivotal role in shaping the legal framework of our corporate structure and ensuring the smooth operation of our legal processes. Key Responsibilities: Internal Corporate Reorganisation: Lead and manage internal corporate reorganisation initiatives to streamline operations, enhance efficiency, and ensure alignment with business goals. Work closely with various departments to implement reorganisation plans effectively, ensuring minimal disruption to business operations and maintaining compliance with legal standards. Review and amend constitutional documents as required to meet the evolving needs of the growing company. Manage inter-Group share capitalisations, share repurchases and dividend payments. Assist Chief of Staff and HR with the maintenance of the company employee share scheme, providing guidance to employees on main terms of the share scheme and liaising with the share scheme trustee. Subsidiary Establishment and Closure: Lead the process of setting up subsidiaries, including legal formation, registration, operation and ensuring continuing compliance with local and international laws. Coordinate with internal teams and external advisors to ensure seamless subsidiary integration. Lead the process of closing inactive subsidiaries. Maintain an up-to-date Group structure chart, reflecting the newly incorporated subsidiaries and closures within the Group. Board and Shareholder Meetings: Arrange and coordinate board and shareholder meetings. Draft and review agendas/minutes and resolutions for meetings, ensuring legal compliance and proper documentation. Send requisite notices to external shareholder(s). Coordinate appointment, resignation and removal of directors/secretaries and ensure POAs remain valid or terminated, as business needs require. Policy Drafting/Contract Review and Management: Draft internal policies and procedures related to corporate matters, HR matters, compliance and related matters. Draft, review, negotiate, and amend employment/consultancy contracts, office lease agreements, service agreements, vendor and other supplier agreements, as well as software provider agreements to protect and align with the company's interests and ensure compliance with applicable laws. Provide guidance on contractual obligations, risks, and terms and conditions. Account Opening Processes: Handle the legal aspects of the account opening processes with financial institutions in various jurisdictions. Ensure compliance with KYC (Know Your Customer) and AML (Anti-Money Laundering) regulations. Corporate Filings/Business Licences: Track and submit all annual, regular and ad-hoc statutory filings with Companies House and its equivalent in all jurisdictions relevant to the Group, with regulators and other licensing bodies, as required, to ensure that all filings are accurate, timely, and compliant with statutory requirements. Maintain a register of business licences across the Group, and ensure timely renewal. Data Protection: Monitor changes in relevant data protection and privacy legislation and work with key internal stakeholders to develop and maintain policies and procedures in compliance with the GDPR and other applicable local data protection laws. Review contracts to assess data protection impact and collaborate with the team to implement processes to ensure compliance with all relevant data protection laws. Maintenance of corporate records/Manage local secretarial bodies: Maintain the statutory books of each subsidiary within the Group, including registers of members, directors, secretaries and share certificates (if applicable). Monitor changes in relevant legislation and the regulatory environment across all jurisdictions in which the Group operates and take appropriate action including providing internal update/training where required. Assist with the appointment of local corporate secretaries, and/or auditors and/or global service providers for local subsidiaries. Skills and Experience Required: A qualified lawyer with excellent academic credentials and corporate law focus in the UK or another EEA equivalent jurisdiction. Demonstrable experience and strong understanding of corporate matters, corporate governance and compliance requirements. PQE is not a deciding factor. Ability to work and produce high standards of work product in a busy legal department dealing with a range of other legal matters including - general corporate, compliance, regulatory, HR / employment and finance issues. Excellent communication and interpersonal skills with the ability to communicate legal issues in a business-friendly way and influence key stakeholders. Time management skills.
THE ROLE This role will be reporting to the Chief Compliance Officer and Deputy General Counsel, Global Head of Litigation and will be assist with developing, implementing and managing all aspects of compliance in EMEA & Asia, including providing advice to business groups and senior stakeholders on compliance related matters affecting Sotheby's business in these regions. This position will have a particular focus on financial crime compliance and will include undertaking the role of Money Laundering Reporting Officer ( MLRO ). To be successful in this role, the individual must be an experienced certified compliance professional or a qualified lawyer with extensive experience in financial crime compliance. They should have exemplary communication skills and experience in designing and implementing cross-border compliance programmes. They will also have the ability to build strong relationships with our business clients and senior stakeholders, and to give considered and practical advice on complex matters. The right person for this role will be a self-starter who has sufficient expertise and experience in this area to be able to operate autonomously and to manage a team. RESPONSIBLITIES Responsible for financial crime compliance in EMEA & Asia, including in relation to anti-money laundering and counter terrorist and proliferation financing ( AML/CTPF ), sanctions and anti-bribery and corruption ( ABC ) and corporate offences, and will work with colleagues in the Compliance Department in relation to financial crime compliance in other regions, including the US; Acting as MLRO and performing all associated responsibilities, including developing and managing Sotheby's internal suspicious activity reporting processes and record-keeping, filing suspicious activity reports ( SARs ), filing annual returns and dealing with annual levies, and supporting on any regulator audit or risk assessment or other relevant government or regulator engagement; Developing, maintaining and keeping under review, Sotheby's business wide risk assessments, policies and procedures in relation to financial crime, including AML/CTPF, sanctions and ABC, and in relation to corporate offences; Responsible for the continuous development, improvement and implementation of Sotheby's systems controls, policies, procedures and tools to mitigate financial crime risk, and partnering with Sotheby's Service Operations, Product & Technology and Date Protection / Information Security teams on the same; Managing and developing Sotheby's KYC Analyst team and equipping existing core operational functions at Sotheby's (for example, pre-sale and post-sale teams and administrators) with adequate anti-financial crime awareness and compliance; Act as point of escalation to advise on and assist with the onboarding of new clients and review of existing clients and their transactions, including regarding collection and review of client due diligence documents and screening results; resolution of screening results through automated tools (primarily, LSEG Worldcheck); review of existing client due diligence documents and ongoing screening; review and investigation of high-risk clients and transactions; and overseeing enhanced due diligence and recommendations to local senior management on approval of client onboarding or transactions; Oversight of regulatory affairs in the relevant region, including for example, FCA related matters, acceptance of crypto-currencies and sale of non-fungible tokens ( NFTs ), and advising on and managing related policies, procedures and escalations; Maintaining in-depth knowledge of relevant financial crime and corporate offence regulations, laws and regimes, and updating relevant staff on any relevant changes and best practices; Assisting with developing, maintaining, and delivering an education and training programme to inform employees on financial crime and other legal, regulatory and ethical matters that exist or which are likely to become relevant and which fall withing the remit of the Compliance Department, and maintenance of training records for the same; Assisting with maintaining Sotheby's Code of Business Conduct and non-financial crime compliance policies and procedures (including, for example, anti-trust, conflicts of interest and property due diligence) to ensure that the company and its employees have sufficient information and guidance to allow them to comply with applicable laws and regulations and company-wide policies and ethical standards; Providing accurate and timely advice and guidance to Sotheby's staff on issues arising from compliance policy areas and subject matters within the responsibility of the Compliance Department; Assisting with designing and implementing procedures to monitor and audit the efficacy of the Compliance program, detect issues, violations and areas for improvement relating to policies or legal, regulatory or ethical requirements, particularly in relation to financial crime; Supporting senior stakeholders on larger projects by providing assistance and advice in connection with compliance related aspects; Taking an active role in knowledge sharing, thought leadership and practice development to ensure Sotheby's remains abreast of developments in or updates to laws, regulations and practices in relation to financial crime and corporate offences, and assisting with the same for other matters falling within the remit of the Compliance Department; Ensuring appropriate record retention and management. IDEAL EXPERIENCE & COMPETENCIES 8 plus years of either (a) compliance experience in the regulated sector with relevant qualifications (ICA AML certificate or Certified MLRO or CAMS); or (b) post-qualification experience in a regulatory and / or financial crime practice area at a leading UK or European commercial law firm (current in-house lawyers will be considered provided they have significant prior experience in private practice and currently work or have previously worked in the regulated sector); The ideal candidate will have previous experience of being an MLRO and / or of implementing cross-border compliance programmes, with a particular focus on financial crime compliance; Proficiency and experience in using relevant screening tools (for example, LSEG Worldcheck, Dow Jones, Lexis Nexis); Experience in transaction monitoring, in particular of block chain transactions, and fraud detection; Excellent analytical and written skills are vital, able to produce clear, high-quality writing; advanced communication and presenting skills are also important; Ability to assess and balance commercial and regulatory risks, to think strategically and to clearly and concisely provide advice, often in time pressured circumstances; Ability to provide clear guidance and workable, commercial solutions on complex and sensitive issues; Excellent relationship management and people skills, experience of managing a team, team player mentality with the ability to work alongside colleagues, and with clients, their representatives and other stakeholders; Maintaining excellent stakeholder management and communication skills with the ability to bring all stakeholders on board; Professional and calm manner; able to multi-task and prioritise and capable of working independently across Europe, the Middle East and Asia, and accommodating of other time zones when necessary; Additional language skills helpful; Art law / art industry experience is not required.
Feb 16, 2025
Full time
THE ROLE This role will be reporting to the Chief Compliance Officer and Deputy General Counsel, Global Head of Litigation and will be assist with developing, implementing and managing all aspects of compliance in EMEA & Asia, including providing advice to business groups and senior stakeholders on compliance related matters affecting Sotheby's business in these regions. This position will have a particular focus on financial crime compliance and will include undertaking the role of Money Laundering Reporting Officer ( MLRO ). To be successful in this role, the individual must be an experienced certified compliance professional or a qualified lawyer with extensive experience in financial crime compliance. They should have exemplary communication skills and experience in designing and implementing cross-border compliance programmes. They will also have the ability to build strong relationships with our business clients and senior stakeholders, and to give considered and practical advice on complex matters. The right person for this role will be a self-starter who has sufficient expertise and experience in this area to be able to operate autonomously and to manage a team. RESPONSIBLITIES Responsible for financial crime compliance in EMEA & Asia, including in relation to anti-money laundering and counter terrorist and proliferation financing ( AML/CTPF ), sanctions and anti-bribery and corruption ( ABC ) and corporate offences, and will work with colleagues in the Compliance Department in relation to financial crime compliance in other regions, including the US; Acting as MLRO and performing all associated responsibilities, including developing and managing Sotheby's internal suspicious activity reporting processes and record-keeping, filing suspicious activity reports ( SARs ), filing annual returns and dealing with annual levies, and supporting on any regulator audit or risk assessment or other relevant government or regulator engagement; Developing, maintaining and keeping under review, Sotheby's business wide risk assessments, policies and procedures in relation to financial crime, including AML/CTPF, sanctions and ABC, and in relation to corporate offences; Responsible for the continuous development, improvement and implementation of Sotheby's systems controls, policies, procedures and tools to mitigate financial crime risk, and partnering with Sotheby's Service Operations, Product & Technology and Date Protection / Information Security teams on the same; Managing and developing Sotheby's KYC Analyst team and equipping existing core operational functions at Sotheby's (for example, pre-sale and post-sale teams and administrators) with adequate anti-financial crime awareness and compliance; Act as point of escalation to advise on and assist with the onboarding of new clients and review of existing clients and their transactions, including regarding collection and review of client due diligence documents and screening results; resolution of screening results through automated tools (primarily, LSEG Worldcheck); review of existing client due diligence documents and ongoing screening; review and investigation of high-risk clients and transactions; and overseeing enhanced due diligence and recommendations to local senior management on approval of client onboarding or transactions; Oversight of regulatory affairs in the relevant region, including for example, FCA related matters, acceptance of crypto-currencies and sale of non-fungible tokens ( NFTs ), and advising on and managing related policies, procedures and escalations; Maintaining in-depth knowledge of relevant financial crime and corporate offence regulations, laws and regimes, and updating relevant staff on any relevant changes and best practices; Assisting with developing, maintaining, and delivering an education and training programme to inform employees on financial crime and other legal, regulatory and ethical matters that exist or which are likely to become relevant and which fall withing the remit of the Compliance Department, and maintenance of training records for the same; Assisting with maintaining Sotheby's Code of Business Conduct and non-financial crime compliance policies and procedures (including, for example, anti-trust, conflicts of interest and property due diligence) to ensure that the company and its employees have sufficient information and guidance to allow them to comply with applicable laws and regulations and company-wide policies and ethical standards; Providing accurate and timely advice and guidance to Sotheby's staff on issues arising from compliance policy areas and subject matters within the responsibility of the Compliance Department; Assisting with designing and implementing procedures to monitor and audit the efficacy of the Compliance program, detect issues, violations and areas for improvement relating to policies or legal, regulatory or ethical requirements, particularly in relation to financial crime; Supporting senior stakeholders on larger projects by providing assistance and advice in connection with compliance related aspects; Taking an active role in knowledge sharing, thought leadership and practice development to ensure Sotheby's remains abreast of developments in or updates to laws, regulations and practices in relation to financial crime and corporate offences, and assisting with the same for other matters falling within the remit of the Compliance Department; Ensuring appropriate record retention and management. IDEAL EXPERIENCE & COMPETENCIES 8 plus years of either (a) compliance experience in the regulated sector with relevant qualifications (ICA AML certificate or Certified MLRO or CAMS); or (b) post-qualification experience in a regulatory and / or financial crime practice area at a leading UK or European commercial law firm (current in-house lawyers will be considered provided they have significant prior experience in private practice and currently work or have previously worked in the regulated sector); The ideal candidate will have previous experience of being an MLRO and / or of implementing cross-border compliance programmes, with a particular focus on financial crime compliance; Proficiency and experience in using relevant screening tools (for example, LSEG Worldcheck, Dow Jones, Lexis Nexis); Experience in transaction monitoring, in particular of block chain transactions, and fraud detection; Excellent analytical and written skills are vital, able to produce clear, high-quality writing; advanced communication and presenting skills are also important; Ability to assess and balance commercial and regulatory risks, to think strategically and to clearly and concisely provide advice, often in time pressured circumstances; Ability to provide clear guidance and workable, commercial solutions on complex and sensitive issues; Excellent relationship management and people skills, experience of managing a team, team player mentality with the ability to work alongside colleagues, and with clients, their representatives and other stakeholders; Maintaining excellent stakeholder management and communication skills with the ability to bring all stakeholders on board; Professional and calm manner; able to multi-task and prioritise and capable of working independently across Europe, the Middle East and Asia, and accommodating of other time zones when necessary; Additional language skills helpful; Art law / art industry experience is not required.
Head of Compliance / Money Laundering Reporting Officer (MLRO) London or Oxford About Tripadvisor We believe that we are better together, and at Tripadvisor we welcome you for who you are. Our workplace is for everyone, as is our people-powered platform. At Tripadvisor, we want you to bring your unique identities, abilities, and experiences, so we can collectively revolutionize travel and together find the good out there. Tripadvisor provides payment services through several subsidiaries, including Owl Payments Limited (Owl UK). The Role We are seeking an experienced Head of Compliance / Money Laundering Reporting Officer (MLRO) to lead compliance and financial crime functions at Owl UK, a payments institution regulated by the FCA. This leadership role requires deep regulatory expertise, strategic vision, and operational excellence. You will oversee compliance for Owl UK and support Tripadvisor's broader payments compliance efforts, ensuring adherence to legal requirements and supervisory expectations. Key responsibilities include managing the compliance program, driving regulatory initiatives, and collaborating with stakeholders to uphold a strong compliance culture. Job Location: Hybrid This role is a hybrid position that requires 1 or 2 days per month in our Oxford office What You'll Do Regulatory Compliance & Governance Act as Owl UK's Payment Service Directive (PSD) Individual, Chief Compliance Officer (CCO) and Money Laundering Reporting Officer (MLRO) under the FCA regulatory framework. Develop, implement, and maintain a comprehensive compliance framework, ensuring adherence to FCA regulations, Payment Services Regulations (PSRs) and AML requirements. Provide regulatory advice to the Owl UK board and senior management, ensuring proactive compliance with evolving laws and regulations. Serve as the primary liaison with the FCA and other regulatory bodies, handling all compliance-related communications, audits, and reporting. Oversee regulatory reporting, including suspicious activity reports (SARs), annual AML reports, and FCA notifications. Lead Owl UK's financial crime compliance program, ensuring robust controls to prevent money laundering, terrorist financing, and fraud. Maintain and enhance AML/CTF policies, procedures, and systems to ensure effective risk management and compliance with UK AML regulations, JMLSG guidance, and FATF recommendations. Act as Owl UK's MLRO, overseeing transaction monitoring, SARs submission to the National Crime Agency (NCA), and financial crime risk assessments. Ensure ongoing customer due diligence (CDD), enhanced due diligence (EDD), and know-your-customer (KYC) processes are effectively managed. Lead AML training and awareness programs for employees, fostering a strong compliance culture. Develop and oversee risk-based compliance monitoring programs to assess and enhance the effectiveness of controls. Ensure a robust fraud prevention and detection framework, collaborating with relevant teams to mitigate risks. Oversee periodic compliance audits, ensuring the business operates within regulatory expectations. Monitor industry developments, regulatory changes, and emerging risks, advising the Board on necessary adjustments. Stakeholder & Team Leadership Provide strategic leadership, fostering a culture of integrity and compliance. Work closely with legal, risk, product, and operations teams to ensure compliance is embedded in all business activities. Act as a key point of contact for external auditors, regulatory bodies, banking partners, and law enforcement. Skills & Experience We're looking for a seasoned compliance professional with the right mix of expertise, leadership, and a steady hand under pressure. You pride yourself on your positive disposition, sense of humour, and work ethic. You're collaborative and unflappable. Ideally, you'll have top-notch credentials (ICA Diploma, CAMS, or equivalent) and a deep understanding of payments regulations like FCA regulations, Payment Services Regulations (PSRs), Electronic Money Regulations (EMRs), and UK AML laws. You have experience liaising with regulatory bodies, including FCA, NCA, HMRC, and law enforcement agencies. If you've been an FCA-approved SMF16/17 before or a PSD Individual, even better. You should be a strategic thinker who can navigate regulatory challenges, manage auditors effectively, and influence stakeholders at all levels. Strong analytical skills, board-level communication chops, and unwavering integrity are a must. What We Offer Flexible activity-based working fostering collaboration and productivity. Inclusive global travelers community welcoming diverse perspectives. Competitive salary package including performance bonuses and equity plan. Development programs, managerial courses, and learning series. Health insurance covers medical, dental, and vision for families (varies by country). Lifestyle Reimbursement Benefit for personal travel, and physical, mental, and financial wellness. Several paid time off programs, including time to bond with new children and care for family members. Paid public holidays, and year-end office shutdown. Employee assistance program for short-term counseling and free Calm app subscription. State-of-the-art offices: dining, coffee points, and leisure areas.
Feb 14, 2025
Full time
Head of Compliance / Money Laundering Reporting Officer (MLRO) London or Oxford About Tripadvisor We believe that we are better together, and at Tripadvisor we welcome you for who you are. Our workplace is for everyone, as is our people-powered platform. At Tripadvisor, we want you to bring your unique identities, abilities, and experiences, so we can collectively revolutionize travel and together find the good out there. Tripadvisor provides payment services through several subsidiaries, including Owl Payments Limited (Owl UK). The Role We are seeking an experienced Head of Compliance / Money Laundering Reporting Officer (MLRO) to lead compliance and financial crime functions at Owl UK, a payments institution regulated by the FCA. This leadership role requires deep regulatory expertise, strategic vision, and operational excellence. You will oversee compliance for Owl UK and support Tripadvisor's broader payments compliance efforts, ensuring adherence to legal requirements and supervisory expectations. Key responsibilities include managing the compliance program, driving regulatory initiatives, and collaborating with stakeholders to uphold a strong compliance culture. Job Location: Hybrid This role is a hybrid position that requires 1 or 2 days per month in our Oxford office What You'll Do Regulatory Compliance & Governance Act as Owl UK's Payment Service Directive (PSD) Individual, Chief Compliance Officer (CCO) and Money Laundering Reporting Officer (MLRO) under the FCA regulatory framework. Develop, implement, and maintain a comprehensive compliance framework, ensuring adherence to FCA regulations, Payment Services Regulations (PSRs) and AML requirements. Provide regulatory advice to the Owl UK board and senior management, ensuring proactive compliance with evolving laws and regulations. Serve as the primary liaison with the FCA and other regulatory bodies, handling all compliance-related communications, audits, and reporting. Oversee regulatory reporting, including suspicious activity reports (SARs), annual AML reports, and FCA notifications. Lead Owl UK's financial crime compliance program, ensuring robust controls to prevent money laundering, terrorist financing, and fraud. Maintain and enhance AML/CTF policies, procedures, and systems to ensure effective risk management and compliance with UK AML regulations, JMLSG guidance, and FATF recommendations. Act as Owl UK's MLRO, overseeing transaction monitoring, SARs submission to the National Crime Agency (NCA), and financial crime risk assessments. Ensure ongoing customer due diligence (CDD), enhanced due diligence (EDD), and know-your-customer (KYC) processes are effectively managed. Lead AML training and awareness programs for employees, fostering a strong compliance culture. Develop and oversee risk-based compliance monitoring programs to assess and enhance the effectiveness of controls. Ensure a robust fraud prevention and detection framework, collaborating with relevant teams to mitigate risks. Oversee periodic compliance audits, ensuring the business operates within regulatory expectations. Monitor industry developments, regulatory changes, and emerging risks, advising the Board on necessary adjustments. Stakeholder & Team Leadership Provide strategic leadership, fostering a culture of integrity and compliance. Work closely with legal, risk, product, and operations teams to ensure compliance is embedded in all business activities. Act as a key point of contact for external auditors, regulatory bodies, banking partners, and law enforcement. Skills & Experience We're looking for a seasoned compliance professional with the right mix of expertise, leadership, and a steady hand under pressure. You pride yourself on your positive disposition, sense of humour, and work ethic. You're collaborative and unflappable. Ideally, you'll have top-notch credentials (ICA Diploma, CAMS, or equivalent) and a deep understanding of payments regulations like FCA regulations, Payment Services Regulations (PSRs), Electronic Money Regulations (EMRs), and UK AML laws. You have experience liaising with regulatory bodies, including FCA, NCA, HMRC, and law enforcement agencies. If you've been an FCA-approved SMF16/17 before or a PSD Individual, even better. You should be a strategic thinker who can navigate regulatory challenges, manage auditors effectively, and influence stakeholders at all levels. Strong analytical skills, board-level communication chops, and unwavering integrity are a must. What We Offer Flexible activity-based working fostering collaboration and productivity. Inclusive global travelers community welcoming diverse perspectives. Competitive salary package including performance bonuses and equity plan. Development programs, managerial courses, and learning series. Health insurance covers medical, dental, and vision for families (varies by country). Lifestyle Reimbursement Benefit for personal travel, and physical, mental, and financial wellness. Several paid time off programs, including time to bond with new children and care for family members. Paid public holidays, and year-end office shutdown. Employee assistance program for short-term counseling and free Calm app subscription. State-of-the-art offices: dining, coffee points, and leisure areas.
