Compliance Manager Financial Services Job at Robert Half

Financial Services Compliance Manager

Supports compliance oversight and risk management for T-Mobile’s financial servi...

Location

United States , Bellevue

Salary:

74100.00 - 133600.00 USD / Year

T-Mobile

Expiration Date

Until further notice

Requirements

Experience building and maintaining compliance frameworks within complex partner ecosystems
Strong relationship management and communication skills
Working knowledge of consumer financial protection laws and regulations (UDAAP, ECOA, FCRA, GLBA, TILA, Reg E, BSA/AML, etc.)
Proven ability to balance business enablement with regulatory compliance and risk tolerance
Exceptional critical thinking, issue-spotting, and program development abilities
Ability to exercise a high degree of initiative, dependability, and attention to detail
Ability to work independently, prioritize tasks, and manage multiple projects simultaneously in a dynamic environment
Complex financial services project management experience is a plus
Competency with Microsoft's suite of business products
Minimum 5 years of experience in financial services compliance, regulatory risk management, or third-party oversight (experience with fintechs or bank partnerships strongly preferred)

Job Responsibility

Partner with internal and external stakeholders to deliver day-to-day compliance guidance and solutions for financial services programs
Support compliance oversight for a portfolio of financial services organizations through due diligence, monitoring, and risk assessments
Conduct and document vendor compliance assessments and ongoing monitoring
Translate legal and regulatory concepts relevant to T-Mobile’s financial portfolio into practical business guidance
Operationalize compliance controls in coordination with business and technology stakeholders
Track and report compliance risks, issues, and corrective actions
Drive a culture of compliance and ethical behavior throughout the organization

What we offer

Competitive base salary and compensation package
Annual stock grant
Employee stock purchase plan
401(k)
Access to free, year-round money coaches
Medical, dental and vision insurance
Flexible spending account
Paid time off and up to 12 paid holidays
Paid parental and family leave
Family building benefits

Fulltime

Compliance Business Partner – Financial Services, AML

FTSE 100 business in the telecommunications sector with financial services produ...

Location

United Kingdom , London

Salary:

70000.00 - 80000.00 GBP / Year

Audit & Risk Recruitment

Expiration Date

Until further notice

Requirements

Established Compliance Manager
Keen understanding of financial crime in regulated sectors (banking, insurance)
Analytic thinker and problem solver
Ability to digest complex information and make it understandable for others

Job Responsibility

Strategic partnership with senior leadership team to ensure compliance with regulations and provide expertise to mitigate risks surrounding financial crime, particularly AML
Working with regional markets to assess risk mitigation strategies and project managing remediations and improvements to compliance programs
Driving implementation of group-wide compliance policies and programs to regional markets, acting as go-between for Group and Regions
Delivering tailored training programmes on financial crime and compliance
Regulatory reporting

What we offer

10% bonus

Fulltime

Financial Services Audit Manager - Insurance

Providing Audit assistance and expertise that makes an impact. We work with the ...

Location

United Kingdom , London

Salary:

Not provided

BDO UK LLP

Expiration Date

Until further notice

Requirements

ACCA/ACA/ICAS qualified or overseas equivalent
Previous experience of managing people
Good working knowledge of UK and International GAAS, IFRS, UK GAAP and Financial Reporting requirements
Working knowledge of financial products, firm services, issues regarding advice and regulation and compliance, including anti-money laundering
Experience of systems/controls testing as well as substantive auditing, including consolidations, group audits, statutory accounts and disclosures
Project Management experience

Job Responsibility

Act as a major point of contact within the firm for the audited entity, together with the Partner
Build and maintain strong relationships with stakeholders at senior levels, to develop a strong commercial understanding of the audited entity
Identify and recognise business and sales opportunities and inform the Partner as appropriate
Act as an ambassador of the firm, participates in office marketing events, keeps abreast of the wide range of service the firm offers
Recruit, retain, develop and motivate our employees, which includes participating in graduate recruitment, ensuring job appraisal documentation is completed within deadlines and ensuring appropriate objectives and development plans are in place for counselees
Complete assignments within agreed budgets and timescales and identify opportunities for additional billings

What we offer

Health and wellness programmes
Pension plan
Private medical
Income protection plan
Holidays
Bike to work scheme

Senior Regulatory Compliance Manager

You are a regulatory compliance subject specialist and able to take responsibili...

Location

Belgium , Brussels

Salary:

Not provided

Equals Group PLC

Expiration Date

Until further notice

Requirements

In-depth understanding of UK regulatory frameworks, including the Payment Services 2017 (PSRs), Electronic Money Regulations (EMRs), AML/CTF requirements and GDPR
Experience drafting and implementing compliance policies and procedures
Strong analytical and problem-solving skills
Excellent communication skills across all levels of stakeholders
Ability to promote the compliance agenda and foster a robust compliance culture across the business
Familiarity with working in a 3LOD model
Leadership skills to manage and inspire a team
Meticulous attention to detail and organisational capabilities
Minimum of 5-7 years’ experience in regulatory compliance within financial services, preferably in the payment services sector
Demonstrated track record in working with regulatory bodies such as the FCA, HMRC, NBB

Job Responsibility

Supporting the Head of Regulatory Compliance in the day-to-day execution of the compliance roadmap
Providing independent 2nd line ‘review and challenge’ to Equals business units, adopting the ‘advise, train and monitor’ second line model
Taking ownership of specific items on the Compliance Roadmap/Strategy, ensuring completion of tasks in line with deadlines and escalating any risks of non-completion
Providing high quality compliance advice to the business on all regulatory matters relevant to Equals businesses
Supporting the ongoing development of compliance staff through reviewing documentation, proposals and other assets and providing quality feedback on these
Supporting regulatory engagement in relevant markets where Equals has or is seeking to establish a presence
Working closely with the other Group Risk and Compliance functions and senior management stakeholders
Acting as a role model for more junior members of the compliance function
Co-ordinating the Group’s initial responses to regulatory change matters, and supporting the head to allocate new items to team members
Developing training material in relation to policies owned by Compliance

What we offer

A competitive salary benchmarked against a peer group
25 days holiday per year + your birthday off
Opportunities for progression, development and learning new skills - individual budgets towards the cost of learning & development
Interbank currency rates on travel money and international transfers
Meal Vouchers
Eco Cheques
Group Insurance
Insurance cover (hospitalisation, work accident and business travel)
Homeworking allowance
Bike allowance

Fulltime

Third Party Compliance Risk Management Senior Analyst

Serves as a Third Party Compliance Risk Management Senior Analyst for Independen...

Location

United Kingdom , Belfast

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Knowledge of Compliance laws, rules, regulations, risks and typologies
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Work collaboratively with regional and global partners in other functional units
ability to navigate a complex organization
Excellent project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Knowledge in area of focus
Bachelor's degree

Job Responsibility

Assessment of Third Party Compliance (ATPC) tool & process owner & subject matter experts (for new relationships & annual assessments)
Ongoing buildout of Third Party Compliance Risk Program including strategy, design and ongoing governance for current and post-target state. Includes appropriate tagging and control coverage in MCA
Provide guidance and documentation for expectations of PFICRM including tools to support credible challenge requirements
Reporting/metrics build out, including identification of areas of high compliance risk and/or weaknesses of quality execution of the ATPC
Engage with Compliance Programs for consistency with ATPC future state design under Consent Order
Participating in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM
Analyzing comparative data and preparing regional and global reports related to compliance risk assessments, and monitoring of compliance related issues
Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing potential risks
Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management on how to proceed, and preparing responses for the regulatory inquiries
Monitoring adherence to Citi’s Compliance Risk Policies and relevant procedures

What we offer

Generous holiday allowance starting at 27 days plus bank holidays
increasing with tenure
A discretional annual performance related bonus
Private medical insurance packages to suit your personal circumstances
Employee Assistance Program
Pension Plan
Paid Parental Leave
Special discounts for employees, family, and friends
Access to an array of learning and development resources

Fulltime

Regulatory Compliance Manager

We are seeking an experienced Senior Regulatory Compliance Manager to join our e...

Location

Singapore , Singapore

Salary:

Not provided

Equals Group PLC

Expiration Date

Until further notice

Requirements

Minimum 5 years’ experience in compliance and/or regulatory legal areas, most of which is in the payment/e-money and/or broader financial services industry
Subject matter expert in Singaporean regulatory frameworks for payments/e-money businesses, including the PAS, MAS AML/CTF Notices, TRM Guidelines and related governance requirements
Proven experience and good track record of dealings with MAS and managing regulatory relationships, supervisory reviews and inspections
University degree and professional qualification in the relevant discipline (preferable - ICA, ACAMS, CPA, Law degree)
Excellent communication skills and ability to influence and promote compliance agenda
Experience of working within a Group setup and 3 lines of defence operating model
Strong analytical skills, attention to detail, and pragmatic approach to challenges
Highest standards of professionalism and individual accountability
Fluent oral and written skills in English
Applicants must have the legal right to work in Singapore

Job Responsibility

Provide 2nd line of defence Compliance oversight across all Singaporean business activities, products and services
Act as the primary subject matter expert for all regulatory and compliance matters in Singapore, including PSA, MAS requirements, AMLF/CFT notices, Technology/Risk Management (TRM) Guidelines and other relevant regulations
Provide regulatory and compliance advice and support to ensure the Singapore business meets its legal and regulatory obligations
Support the Group Regulatory Compliance function in the day-to-day activities
Drive the regulatory compliance and conduct risk agenda across the Singapore entity, by engaging with relevant stakeholders
Review, analyse, manage and oversee all regulatory enquiries and incidents related to Singapore entity and business activities
Manage and develop Singaporean regulatory engagement in conjunction with the Group Head of Regulatory Compliance and Group Chief Compliance & Risk Officer
Support and closely collaborate with all GRC functions, including MLROs, Anti-Financial Crime Compliance and Enterprise Risk functions
Work closely with the 1st line of defence teams, external and internal audit and assurance providers, as well as business stakeholders to ensure regulatory and compliance risks are understood and managed adequately
Attend and provide input to all relevant committees and forums as required

What we offer

Opportunity to work flexibly
Opportunity to balance some remote working with time in the office
Growth opportunities and developmental support

Business Support Assistant - Financial Services

We are seeking a detail-oriented and proactive Financial Services Administrator ...

Location

United Kingdom , Stirling

Salary:

24000.00 - 28000.00 GBP / Month

Office Angels

Expiration Date

Until further notice

Requirements

Previous experience in financial services or wealth management
Experience of using Salesforce, Apus or similar CRM systems (desirable)
Strong organisational and multitasking abilities
Excellent communication and interpersonal skills
Proficiency in Microsoft Office Suite and financial software
Attention to detail and high level of accuracy
Ability to work independently and as part of a team

Job Responsibility

Assist clients with account inquiries, transaction processing, and service requests
Prepare, review, and maintain client documentation
Accurately input client data into financial systems and generate reports
Schedule and coordinate client meetings and events
Ensure compliance with industry regulations and company policies
Perform general administrative tasks

Fulltime