Provide oversight on daily trade and transaction reporting processes, ensuring adherence to the control framework and compliance with regulatory obligations.
Responsibilities
Provide oversight on daily trade and transaction reporting processes
Provide input into regulatory reporting initiatives
Identify, investigate and escalate any breaches in regulatory reporting
Remediate compliance breaches
Provide oversight of the team to ensure complete, accurate and timely reporting of trade and transaction submissions across multiple asset classes
Play a pivotal role in shaping the future of the Finance Control team by managing the wide projects including Legal entity reporting and managing Legal Entity Control function and related businesses by driving resolution for key business issues.
Responsibilities
Management of the preparation and presentation of accurate and timely financial statements
Support in identification, assessment, and mitigation of financial risks
Development and maintenance of a robust system of internal controls
Development and implementation of up-to-date financial policies and procedures
Management of the selection, implementation, and maintenance of financial systems and software applications
Requirements
Postgraduate degree in Finance, Accounting or Commerce
CA, ACA, ACCA, CIMA or equivalent professional qualification
Lead the oversight and assessment of financial crime controls for new and existing Embedded Banking Partners, ensuring compliance with internal policies, industry guidance and regulatory standards.
Responsibilities
Ensuring and overseeing compliance with all internal policies, standards, industry guidance and regulation
Leading the completion of the Financial Crime Systems and Controls Assessments for all new Embedded Banking relationships
Responsible for the monitoring and oversight of existing Embedded Banking Partners
Ensuring all oversight activities are completed in accordance with the Oversight Model
Continuously assessing and updating financial crime aspects of Embedded Banking Partners Risk and Control registries
The Compliance Manager, CMP & GRC is responsible for leading Cboe's Compliance Monitoring Program (“CMP”), implementing risk-based compliance control testing and monitoring, driving program enhancements, and supporting alignment with Cboe's governance, risk, and compliance (“GRC”) initiative.
Compensation
The anticipated base salary range for this role is $121,550-$157,300
Responsibilities
Lead day-to-day implementation of the CMP, including annual planning, compliance testing and monitoring, issues tracking and validation, and reporting.
Own and maintain the annual CMP plan, working with risk assessment data and partners across the Three Lines to scope, schedule, and prioritize testing and monitoring activities on a compliance risk basis.
Plan and execute compliance testing reviews and compliance monitoring activities: scope based on risk profile, evaluate effectiveness of controls in meeting regulatory obligations and providing strong internal risk mitigation, and create findings as appropriate, documenting results within the GRC platform.
Track and validate compliance issues and mitigation plans.
Identify opportunities, establish action plans, and drive solutions to continuously mature the CMP program as the GRC platform and its underlying processes evolve.
The Compliance Manager, CMP & GRC is responsible for leading Cboe's Compliance Monitoring Program (CMP), implementing risk-based compliance control testing and monitoring, driving program enhancements, and supporting alignment with GRC initiatives.
Compensation
The anticipated base salary range for this role is $121,550-$157,300
Responsibilities
Lead day-to-day implementation of the CMP, including annual planning, compliance testing and monitoring, issues tracking and validation, and reporting.
Own and maintain the annual CMP plan, working with risk assessment data and partners across the Three Lines to scope, schedule, and prioritize testing and monitoring activities.
Plan and execute compliance testing reviews and compliance monitoring activities.
Track and validate compliance issues and mitigation plans.
Identify opportunities, establish action plans, and drive solutions to continuously mature the CMP program as the GRC platform and its underlying processes evolve.
Lead the Universal Banking Location Team and its NFR delivery across multiple locations, acting as a trusted Business Partner and setting risk and control standards.
Compensation
Wage (gross) 4,293 EUR/month
Responsibilities
Lead the Universal Banking Location Team delivering NFR services to multiple Universal Banking locations
Ensure clear roles, ownership, and accountability within the team
Translate functional strategy and business plans into clear team priorities, delivery objectives and actions for supported locations
Maintain a medium-term delivery plan across locations, coordinating dependencies, capacity and changing risk priorities
Develop the team’s expertise in NFR processes and frameworks
A strategic professional within the Internal Audit Digital Solutions & Innovation team identifying automation opportunities, designing repeatable solutions, and contributing to the strategic direction of Internal Audit.
Responsibilities
Lead the end-to-end enterprise change request and enhancement release cycle, from requirements gathering and solution design through user acceptance testing (UAT), implementation, and final sign-off.
Collaborate closely with technology partners and cross-functional teams to design, build, test, and implement automated, scalable, and repeatable analytics solutions.
Manage project timelines, establish milestone plans, track delivery performance, and provide advisory guidance on technology and operational improvements.
Support enhancements to DevOps practices, testing frameworks, and solution development lifecycles.
Apply strong communication, advisory, and diplomacy skills to guide, influence, and align cross-functional stakeholders, senior leaders, and technology partners.
A senior leadership role within Markets and Securities Services Operations, accountable for the Non-Financial Risk (NFR) capability supporting Custody, Clearing & Settlements and Asset Services Operations globally.
Responsibilities
Lead the global NFR strategy and operating model for Custody, Clearing & Settlements and Asset Services Operations.
Own and continuously improve the operational control environment, including control design, execution quality, evidence standards and assurance readiness.
Ensure risks are identified, assessed, escalated and managed within appetite through effective risk and control assessments and governance.
Provide forward-looking insight on emerging risks, incidents, control performance and thematic trends.
Lead the end-to-end management of audit, regulatory, assurance and control issues, including root-cause analysis, remediation and validation.
Lead a multi-functional Legal Operations and Business Management team, translating strategic priorities into operational plans and ensuring efficient, effective support for the global Legal function.
Compensation
$155,000 - $215,000 CAD
Responsibilities
Lead, oversee, provide leadership to a centralized Legal Operations and Business Management function
Act as a strategic advisor to the VP & Head of, Global Legal Operations
Lead strategic planning and business performance management
Accountable for end-to-end operational effectiveness
Accountable Auditor - Director providing quality, efficient, and effective assurance for a portfolio of audits within NatWest Markets, leading the audit lifecycle, managing teams, and influencing business stakeholders.
Responsibilities
Lead and execute audit plan and deliverables, balancing retrospective and forward-looking assurance
Influence business stakeholders to improve controls across audited areas
Manage people, supporting recruitment, talent development, and team performance
Provide insights on AI adoption, cyber readiness, ESG trust, ethical culture, and geopolitical exposure
Act as a valued business partner to relevant management teams
Embedded Banking Financial Crime Oversight LeadNewClearBank · London, United Kingdom
Compliance Manager - CMP & GRCCboe Global Markets · Chicago, US
Compliance Manager - CMP & GRCCboe Global Markets · Chicago, US
Head of Custody NFRHSBC · Manila, Philippines