As Regional Compliance Manager you will be responsible for performing compliance audits and other oversight activities within the business as part of their framework.
There are no direct reports in this position.
This is a fantastic opportunity to join a well-established, corporate finance organisation based in Slough.
This position provides administrative and operational support to ensure efficient and effective oversight activities.
The Compliance Administrator plays a crucial role in assisting the Third-Party Oversight Manager in managing the oversight process of Appointed Representatives (ARs), Introducer Appointed Representatives (IARs), and other third-party distribution relationships.
You will support the PAM in planning, executing, and reporting the results of internal audits of controls over Conduct and Supervision related risks and controls.
Group Audit (GA) is seeking a Lead Principal Auditor to join its Conduct & Supervision audit team to drive enhanced audit coverage of Conduct and Supervision risks and controls globally.
The role will be based in London and will report directly to the Principal Audit Manager (PAM) - Conduct and Supervision based in London.
Working under the overall direction of the Director, Corporate Compliance Assessment, fulfill the second line of defence mandate with respect to compliance oversight by providing independent assessment, review, testing and validation of compliance related controls operating across Canada Life UK business.
General
Canada Life UK looks after the retirement, investment and protection needs of individuals, families and companies.
We help to build better futures for our customers, our intermediaries and our employees by operating as a modern, agile and welcoming organisation.
The Independent Nuclear Oversight (INO) Group, within the Assurance Directorate, provides compelling advice and regulatory interface on nuclear safety, radiological safety, radioactive waste management and assurance of compliance with legal and contractual requirements.
As an Independent Peer Review Manager, you'll have a role that's out of the ordinary.
We have an excellent opportunity to work for our Devonport based client to create a safe and secure world and to join them, you can play your part as an Independent Peer Review Manager.
Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology.
With over 6000 employees, it supports 37 million people in 120 countries.
EQ's vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success.
Internal Regulation are responsible for providing relevant, objective and independent assessments of safety performance throughout the organisation to its senior leaders - this varies from plant and corporate level leaders, up to the Executive Board of Directors and our External Regulators.
We are looking for an inquisitive, mindful and independent Senior Internal Regulator to join the Internal Regulation Surveillance team specifically covering projects.
A successful candidate will need to be able interact effectively with all areas of the business and be able to challenge and interact diplomatically and be a great team player.