compliance advisor

The Cigna Group

<div>The Evernorth Care Delivery &amp; Pharmacy + Compliance Senior Advisor is a key contributor responsible for evaluating compliance with all regulatory requirements relative to the Evernorth Care Delivery, Pharmacy, Home Infusion Nursing, and Wholesale Drug Distribution. This position will also be engaged in various compliance efforts, acting as a subject matter expert to support business partners and will need to work with a high degree of independence.
The Compliance Senior Advisor must be highly organized with a keen eye for detail, and issue management and problem-solving skills. They must be able to understand business processes and work cross functionally with business owners and other key stakeholders. In general, the position is responsible for: (i) carrying out assigned audit and monitoring programs, (ii) compliance data reporting and analytics, (iii) risk management programs, (iv) oversight for key risk remediation, (v) compliance program, (vi) DEA compliance, (vii) corrective action plan programs, (viii) regulatory complaint response and investigation, (ix) compliance policies, and (x) investigations for all areas of operation.
The position is hybrid role and can be part time remote work-at-home, with travel to company sites and supporting locations as needed. Ideally, the team member will be located at or near a location of The Cigna Group.
Responsibilities<ul><li>
Complete an established number of audits and monitoring per quarter for Care Delivery and Pharmacy +;</li><li>
Manage the Prompt Response and Corrective Action Program;</li><li>
Lead committee meetings for various compliance elements with business stakeholders and committee members;</li><li>
Coordination and development of auditing and monitoring plans focusing on areas of Compliance risk;</li><li>
Creation of dashboards and status updates which communicate audit and monitoring results, trends, and summarize risk remediation activity;</li><li>
Deliver executive summary compliance reports and applicable findings to business stakeholders;</li><li>
Serve as subject matter expert to advise business in areas including, but not limited to care delivery, pharmacy, nursing, drug distribution, and associated regulatory requirements;</li><li>
Ensure the highest level of compliance with all Federal, State, and local rules and regulations;</li><li>
Lead, participate and facilitate accessible knowledge and guidance for business stakeholders including Compliance committees and other delivery mechanisms as needed;</li><li>
Execute training program strategy and support of business stakeholders on applicable Compliance topics;</li><li>
Research and respond to compliance questions in consultation with Legal and Compliance stakeholders;</li><li>
Collaborates with internal partners and develops good working relationships to ensure open lines of communication and timely responses to compliance questions;</li><li>
Update, revise, and maintain applicable departmental policies and procedures, and support the review of policies and documents for supported business units;</li><li>
Support business partners in issue management and resolution;</li><li>
Remain aware of industry changes and/or trends;</li><li>
Complete annual compliance program effectiveness assessments.</li></ul>
Qualifications<ul><li>
8+ years overall experience with healthcare regulatory and compliance matters;</li><li>
3+ years of Care Delivery, Pharmacy, Nursing, or Drug Distribution experience preferred;</li><li>
Bachelor&rsquo;s degree required;</li><li>
Pharmacist, Nurse, Licensed Healthcare Professional, or JD required.
 </li><li>Demonstrated ability to interpret and apply federal, state, and local healthcare regulations</li><li>
 Strong analytical, problem-solving, and issue management skills</li><li>
Proven ability to communicate clearly and confidently with business and executive stakeholders</li><li>
 Self-directed, detail-oriented, and able to work independently in a fast-paced environment</li><li>
 Ability to manage multiple, competing priorities while maintaining accuracy and accountability</li><li>
 Strong collaborator with the ability to build effective relationships across Compliance, Legal, and business teams</li><li>
This is a flex/ WAH role</li></ul> 

If you will be working at home occasionally or permanently, the internet connection must be obtained through a cable broadband or fiber optic internet service provider with speeds of at least 10Mbps download/5Mbps upload.
For this position, we anticipate offering an annual salary of 109,600 - 182,600 USD / yearly, depending on relevant factors, including experience and geographic location.
This role is also anticipated to be eligible to participate in an annual bonus plan.
At The Cigna Group, you&rsquo;ll enjoy a comprehensive range of benefits, with a focus on supporting your whole health. Starting on day one of your employment, you&rsquo;ll be offered several health-related benefits including medical, vision, dental, and well-being and behavioral health programs. We also offer 401(k), company paid life insurance, tuition reimbursement, a minimum of 18 days of paid time off per year and paid holidays. For more details on our employee benefits programs, click here.
About The Cigna Group
Doing something meaningful starts with a simple decision, a commitment to changing lives. At The Cigna Group, we&rsquo;re dedicated to improving the health and vitality of those we serve. Through our divisions Cigna Healthcare and Evernorth Health Services, we are committed to enhancing the lives of our clients, customers and patients. Join us in driving growth and improving lives.
Qualified applicants will be considered without regard to race, color, age, disability, sex, childbirth (including pregnancy) or related medical conditions including but not limited to lactation, sexual orientation, gender identity or expression, veteran or military status, religion, national origin, ancestry, marital or familial status, genetic information, status with regard to public assistance, citizenship status or any other characteristic protected by applicable equal employment opportunity laws.
If you need a reasonable accommodation to complete the online application process, please email seeyourself@thecignagroup.com for assistance. Please note that this email inbox is dedicated to accommodation requests only and cannot provide application updates or accept resumes.
The Cigna Group has a tobacco-free policy and reserves the right not to hire tobacco/nicotine users in states where that is legally permissible. Candidates in such states who use tobacco/nicotine will not be considered for employment unless they enter a qualifying smoking cessation program prior to the start of their employment. These states include: Alabama, Alaska, Arizona, Arkansas, Delaware, Florida, Georgia, Hawaii, Idaho, Iowa, Kansas, Maryland, Massachusetts, Michigan, Nebraska, Ohio, Pennsylvania, Texas, Utah, Vermont, and Washington State.
Qualified applicants with criminal histories will be considered for employment in a manner consistent with all federal, state and local ordinances.</div>

Compliance Senior Advisor, Care Delivery & Pharmacy

Oaktree Capital Management

<div>Oaktree is a leader among global investment managers specializing in alternative investments, with over $200 billion in assets under management. The firm emphasizes an opportunistic, value-oriented and risk-controlled approach to investments in credit, private equity, real assets and listed equities. The firm has over 1400 employees and offices in 24 cities worldwide.
We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture.
For additional information please visit our website at www.oaktreecapital.com
Responsibilities
Based in Hyderabad, the Associate/Senior Associate will assist the Compliance Testing and Enterprise Compliance team. Within the Enterprise Compliance team, this position will support with overseeing the Code of Ethics, US Broker-Dealer, AML, Lobbying, and Training functions for Oaktree. Additionally, the Associate/Senior Associate/AVP will be an integral member of the Compliance Testing team, responsible for participating in all aspects of the firm&rsquo;s compliance testing program. This position will focus on testing activities related to Closed-End Fund (CEF) compliance and other areas of the firm&rsquo;s operations, ensuring that internal controls, policies, and procedures are effectively designed and operating in line with applicable regulatory requirements. The individual will collaborate closely with other Compliance team members and business partners, contributing to a disciplined, risk-based approach to testing that supports the firm&rsquo;s overall compliance framework.
Responsibilities include:<ul><li>
A Compliance Generalist role in the Enterprise Compliance Team;</li><li>
Assisting in the management of Oaktree&rsquo;s Code of Ethics policies;</li><li>
Providing guidance and monitoring conflicts related to personal account trading, outside business activity, political activity, and gifts and entertainment;</li><li>
Assisting in the day-to-day management of responsibilities associated with Oaktree&rsquo;s broker-dealer;</li><li>
Performing anti-money laundering checks for potential investors;</li><li>
Participate in the planning, execution, and documentation of compliance testing reviews, with emphasis on Closed-End Fund Compliance activities and related regulatory obligations.</li><li>
Evaluate the design and operational effectiveness of compliance controls across business lines and functional areas.</li><li>
Contribute to the development of testing methodologies, risk assessments, and annual testing plans.</li><li>
Conduct detailed reviews of policies, procedures, and transactions to identify potential compliance gaps or control weaknesses.</li><li>
Prepare comprehensive workpapers and testing summaries to support findings and conclusions.</li><li>
Collaborate with team members and relevant stakeholders to track remediation efforts and confirm implementation of corrective actions.</li><li>
Assist in analyzing data and system outputs to identify trends, exceptions, or anomalies requiring further review.</li><li>
Stay informed of evolving regulatory developments that impact Closed-End Funds and other investment products.</li><li>
Support broader compliance initiatives and cross-team testing efforts as needed.</li></ul> 
Qualifications<ul><li>
Bachelor&rsquo;s Degree required.</li><li>
General knowledge of SEC and anti-money laundering regulatory frameworks and understanding of Material Non-Public Information (&ldquo;MNPI&rdquo;)</li><li>
Proven ability to manage tasks with competing priorities and deadlines;</li><li>
5-7years of experience in compliance, audit, risk management, or a related control function within the asset management or financial services industry.</li><li>
Understanding of Closed-End Fund regulatory requirements (e.g., 1940 Act, SEC rules, or related investment company regulations) preferred.</li><li>
Strong analytical, research, and problem-solving skills with attention to detail.</li><li>
Excellent written and verbal communication abilities.</li><li>
Ability to work collaboratively within a team, managing multiple assignments and priorities.</li><li>
Proficiency in Microsoft Excel and data analysis tools; experience with compliance testing or audit software is a plus.
</li></ul>Personal Attributes<ul><li>
Outstanding initiative, motivation and detail orientation with strong work ethic and excellent organizational skills;</li><li>
Ability to work well under pressure and with time constraints.</li><li>
Proven ability to manage tasks with competing priorities and deadlines;</li><li>
Responsible individual with a strong sense of integrity and dedication;</li><li>
Demonstrates strong interpersonal skills and the ability to quickly build credibility and gain confidence of individuals at all levels; and</li><li>
Team-oriented and able to partner with colleagues to achieve shared goals.</li></ul>
Equal Opportunity Employment Policy
Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.
For positions based in Los Angeles
For those applying for a position in the city of Los Angeles, the firm will consider for employment qualified applicants with a criminal history in a manner consistent with applicable federal, state and local law.</div>

Associate, Compliance

State of Nevada

<div>
 ***THIS RECRUITMENT MAY CLOSE WITHOUT FURTHER NOTICE DEPENDING ON THE NUMBER OF APPLICATIONS RECEIVED. APPLICANTS ARE ENCOURAGED TO APPLY AS SOON AS POSSIBLE***
 
 
 
 Job Summary
 
 
 
 This position is for Compliance Investigator 1, underfilling a Compliance Investigator 2 in the Southern I&amp;R. The Division of Social Services Compliance Investigators perform investigations regarding violations of federal and/or State laws or regulations pertaining to public assistance programs including but not limited to the Supplemental Nutrition Assistance Program (SNAP), Temporary Assistance for Needy Families (TANF), Nevada Medicaid, Low Income Home Energy Assistance Program (LIHEA), Nevada Child Support Enforcement and Nevada Child Care program. Compliance investigations will be completed following a formal complaint or suspected violation utilizing standard investigative techniques. Incumbents are not sworn peace officers, and enforcement actions are limited to compliance rules specific to the program or regulatory statutes and involve informal resolution and/or recommendations for administrative sanctions or penalties which are imposed by a higher authority. Under close supervision, incumbents perform the duties described in the series concept in a training capacity.
 
 
 
 Essential Qualifications
 
 
 
 Bachelor's degree from an accredited college or university in criminal justice, political science, psychology, social work, business administration or closely related field; OR graduation from high school or equivalent education and two years of experience where standard investigative techniques were utilized to make program compliance determinations and prepare detailed reports for the purpose of justifying administrative sanctions, penalties or criminal prosecution. Work experience may be obtained in law enforcement, investigative, regulatory or compliance setting; OR an equivalent combination of education and experience as described above.
 
 
 
 Job Duties
 
 
 
 Receive informal and formal complaints by phone or in writing and make determinations regarding possible program violations and jurisdiction under a specified program area; gather and analyze background information and facts pertaining to the case.
 
 
 Conduct interviews with complainants, witnesses, employers, State and local governmental agencies and other sources to obtain information regarding violations or noncompliance; develop leads and facts pertaining to the case to substantiate violation.
 
 
 Prepare required forms and/or notices and send to appropriate parties regarding complaint and alleged violations; review responses and discuss with complainant and respondent.
 
 
 Gather evidence such as records, reports, bank statements, bills, check stubs, sales receipts, transaction verifications, personnel files and historical data pertaining to the initial violation to develop trends or patterns to support the complaint; conduct surveillance activities and serve subpoenas to obtain evidence and expedite the case as required.
 
 
 Develop case files and maintain case logs and reports; file evidence along with chronological documentation regarding investigative steps taken and all contact made with complainant, respondent, witnesses and other sources; utilize information to develop final case report for further litigation as appropriate.
 
 
 Coordinate possible resolution of complaint on an informal basis by conducting meetings and discussions with contending parties, addressing evidence gathered and steps to regain compliance and/or resolution of complaint; negotiate and stipulate final agreements in writing; monitor case to ensure adherence to agreements.
 
 
 Prepare investigative reports encompassing all facts pertaining to the case; outline suspected violations, statements of facts, documentation of evidence, violations committed, statements obtained and findings and conclusions, for review by a higher authority for sanctions and/or criminal prosecution; appear before the governing body or in a court of law to provide testimony as required.
 
 
 Maintain logs and statistical reports regarding status of on-going cases, final disposition, and field work performed, complaints received, and penalties imposed.
 
 
 Conduct training programs regarding agency services, rules and regulations for employers, community groups and the general public to ensure compliance, understanding and awareness.
 
 
 May conduct investigations of business activities on an as needed basis to ensure compliance with program rules and regulations and stipulated agreements.
 
 
 Perform related duties as assigned.
 
 
 Under close supervision, incumbents perform the duties described in the series concept in a training capacity. Work is assigned through instructions and reviewed for accuracy. Progression to the next level may occur upon meeting the minimum qualifications, satisfactory performance and with the recommendation of the appointing authority.
 
 
 
 Knowledge, Skills, And Abilities
 
 
 
 
 General knowledge of:
 
 research techniques and application; basic investigative techniques; the theories of human behavior and psychology.
 
 
 
 Ability to:
 
 write concise, logical, grammatically correct reports; speak on a one-to-one basis using appropriate vocabulary and grammar to obtain information and to explain policies; record information quickly and accurately; convey accurate and precise data in a timely manner within established time frames; read and interpret statutes related to the program area to make compliance determinations; speak with individuals of various social, cultural, economic and educational backgrounds.
 
 
 Recruiter Contact Information: Ana Maria Ornellas -aornellas@admin.nv.gov
 
 
 The State of Nevada is an equal opportunity employer dedicated to building diverse, inclusive, and innovative work environments with employees who reflect our communities and enthusiastically serve them. All applicants are considered without regard to race, color, national origin, religion or belief, age, disability, sex, sexual orientation, gender identity or expression, pregnancy, domestic partnership, genetic information (GINA), or compensation and/or wages.
 
 
 
 Please send direct Inquiries or correspondence to the recruiter listed on this announcement.
 
 
 
 
 Benefits Include
 
 
 
 <ul>
 <li>
 Health Insurance: Medical, dental, life, and disability insurance programs for employees and their dependents/family are offered through the Public Employees&rsquo; Benefits Program (PEBP).
 </li>
 <li>
 Vacation: Accrual of three weeks of annual leave each year.
 </li>
 <li>
 Sick Leave: Accrual of three weeks of sick leave each year.
 </li>
 <li>
 Holidays: 12 paid holidays per year.
 </li>
 <li>
 Retirement: Participation in the Nevada Public Employees Retirement System (PERS). Employees do not contribute to Social Security but will contribute to PERS if their position is at 50% or more full-time equivalency. For more information on how PERS service may impact Social Security benefits, visit the SSA publication.
 </li>
 <li>
 Deferred Compensation: The State offers a voluntary Deferred Compensation Program.
 </li>
 <li>
 No Nevada state income tax.
 </li>
 <li>
 Public Service Loan Forgiveness: Eligible due to public sector employment.
 </li>
 <li>
 Longevity Payments Eligibility: Employees who have received a performance rating of &ldquo;standard&rdquo; or better and have completed eight (8) or more years of continuous service are eligible for longevity pay.
 
 
 </li>
 </ul>
 
 Additional benefits
 
 may apply to employees covered under a Collective Bargaining Agreement (CBA), depending on their designated bargaining unit. For more information, visit the Labor Relations Unit (LRU).
 
 
 For more details about your rights and responsibilities as a State of Nevada employee, please review the State of Nevada Employee Handbook (PDF).
 
 
 <ul>
 <li>
 State Holidays The holiday schedule for State employees is established by the Legislature.
 
 
 </li>
 </ul>
 
 The Following Are Legal Holidays
 
 
 
 January 1.............................................. New Year's Day
 
 
 Third Monday in January.................. Martin Luther King, Jr.'s Birthday
 
 
 Third Monday in February................ Washington&rsquo;s Birthday
 
 
 Last Monday in May........................... Memorial Day
 
 
 June 19................................................ Juneteenth Day
 
 
 July 4.................................................... Independence Day
 
 
 First Monday in September.............. Labor Day
 
 
 Last Friday in October....................... Nevada Day
 
 
 November 11........................................ Veterans' Day
 
 
 Fourth Thursday in November........ Thanksgiving Day
 
 
 Friday following the Fourth Thursday in November...................... Family Day
 
 
 December 25........................................ Christmas Day
 
 
 When January 1, June 19, July 4, November 11, or December 25 falls on a Saturday, the preceding Friday is the observed legal holiday. If these days fall on Sunday, the following Monday is the observed holiday. Eligibility for holiday pay is covered by the provisions of NAC 284.255
 
 
 01
 
 
 Do you have any of the following?
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree from an accredited college or university in criminal justice, political science, psychology, social work, business administration or closely related field.
 </li>
 <li>
 Graduation from high school or equivalent education and two years of experience where standard investigative techniques were utilized to make program compliance determinations and prepare detailed reports for the purpose of justifying administrative sanctions, penalties or criminal prosecution. Work experience may be obtained in law enforcement, investigative, regulatory or compliance setting.
 </li>
 <li>
 An equivalent combination of education and experience as described above.
 </li>
 <li>
 None of the above.
 
 
 </li>
 </ul>
 02
 
 
 A pre-employment criminal history check and fingerprinting are required. Persons offered employment in this position will be required to pay for these items. Can you meet this requirement?
 
 
 <ul>
 <li>
 Yes
 </li>
 <li>
 No
 
 
 </li>
 </ul>
 03
 
 
 This position requires a valid driver's license or evidence of equivalent mobility at the time of appointment and for continuing employment. Can you meet this requirement?
 
 
 <ul>
 <li>
 Yes
 </li>
 <li>
 No
 </li>
 <li>
 Required Question
 </li>
 </ul>
</div>

COMPLIANCE INVESTIGATOR 1 - UNDERFILL

CONFLUENCE TECHNOLOGIES

<div><h3 class="jobSectionHeader">Description</h3><div> 
Remote- Central or Eastern U.S. time zones</div><div>
</div><div>
Why Confluence?</div><div>
 
At Confluence, we&rsquo;ve always been driven by a commitment to innovation, precision, and partnership in the investment data space. Our global footprint now spans multiple countries, giving our employees the opportunity to get exposure to other countries and cultures. And it stands to reason that none of this would have been possible without the hundreds of hard-working employees who work at Confluence.</div><h3 class="jobSectionHeader"> 
Key Responsibilities</h3><div> 

 About the Role 
As a Compliance Services Consultant, you&rsquo;ll take on a senior, client‑facing role, acting as the primary compliance authority for a select group of clients. You&rsquo;ll provide hands‑on guidance across core U.S. securities laws and play a critical role during high‑stakes regulatory events, including SEC examinations.</div><div>
 
This is a fully remote, highly autonomous role designed for professionals who value ownership, influence, and long‑term client relationships. 
</div><div> 
What You&rsquo;ll Do</div><ul>
<li>Act as an outsourced Chief Compliance Officer for private fund and retail wealth management clients</li>
<li>Advise clients on compliance with the Investment Advisers Act, Investment Company Act, and Securities Exchange Act</li>
<li>Lead annual reviews, risk assessments, and regulatory filings</li>
<li>Support and manage clients through SEC examinations and regulatory inquiries</li>
<li>Build trusted relationships with C‑suite executives and senior stakeholders</li>
<li>Oversee and mentor junior team members</li>
<li>Contribute to the ongoing development and growth of the compliance practice</li></ul> 
<h3 class="jobSectionHeader">
Skills, Knowledge &amp; Expertise</h3><div></div><div> 
What We&rsquo;re Looking For</div><div></div><div> 
Must‑Have Experience</div><ul>
<li>Prior in‑house or outsourced Chief Compliance Officer experience, with direct accountability</li>
<li>Strong working knowledge of:<ul>
<li>Investment Advisers Act of 1940 (essential)</li>
<li>Securities Exchange Act of 1934</li>
<li>Investment Company Act of 1940</li>
</ul></li><li>7+ years of experience in the regulated investment industry (compliance, consulting, or regulatory)</li>
<li>Proven ability to advise C‑suite and senior leadership</li>
<li>Hands‑on experience with private equity, private credit, hedge funds, and/or retail wealth managers</li>
</ul><div>
 
Nice‑to‑Have (But Not Required)
</div><ul><li>Law degree or postgraduate compliance or legal education</li>
<li>Professional certifications (IACCP, CAMS/ACAMS, CRCP, CFE)</li>
<li>FINRA licenses (e.g., Series 24)</li>
<li>Experience with IARD, CRD, PFRD, EDGAR, and compliance software</li>
<li>Exposure to CFTC/NFA regulations</li>
<li>Experience mentoring or leading junior professionals</li>
</ul><div> 
Travel</div><ul><li>
Moderate travel, typically up to approximately 40%</li></ul><h3 class="jobSectionHeader"> 
Job Benefits</h3><div> 
Confluence offers generous benefit packages for team members. As a growing, global organization, we are always looking for ways to ensure that our employees can access benefits that matter to them and their families. This includes: 
</div><div> Generous Time Off packages including additional half days with each public holiday in your location.</div><div>
 Global Career Development opportunities</div><div>
 Social Events</div><div>
 Referral Bonus scheme - Upto $3,000 per successful referral</div><div>
 Plus many more!
</div><div></div><div>
More about the Location</div><div>
We offer flexible working options for all employees.</div><div>
</div><div>
#LI-Remote-Central or Eastern U.S. time zones preferred)</div><h3 class="jobSectionHeader"> 
About Confluence Technologies</h3><div>
 
As a leading global technology solutions provider to the investment management industry, Confluence helps clients solve complex investment data challenges across the front, middle and back office. Headquartered in Pittsburgh, PA, Confluence services over 1000 clients in 40 countries, with locations across Europe, North America, South Africa, Australia and Asia.</div></div>

Compliance Services Consultant

KPMG Bahrain

<div>
 
 
 Who are we?
 
 
 
 
 
 
 
 
 
 
 KPMG in Bahrain employs over 350 professionals and partners. We provide our clients with a suite of locally supported Audit, Tax, and Advisory services. We recruit the best and brightest from around the world, and currently have a workforce that represents over 20 countries working across our teams. We also pride ourselves on our capabilities to attract, nurture, and empower talent from our communities locally.
 
 
 
 
 
 
 The Team
 
 
 
 
 
 
 KPMG's Advisory practice is one of the largest Advisory businesses worldwide and a major growth area for our organization. Our services are focused on the finance function, and we work with clients in identifying and tackling their challenges in growth, governance, and performance. Our Advisory teams support businesses as they restructure and expand, whether organically or by acquisition. We help them to become more efficient and provide support as they adapt to the challenges posed by a rapidly changing business environment.
 
 
 
 
 
 The Risk Consulting practice&rsquo;s key services are:
 
 <ul>
 <li>
 Corporate governance advisory
 </li>
 <li>
 Compliance advisory
 </li>
 <li>
 Financial risk management
 </li>
 <li>
 Internal audit
 </li>
 <li>
 Forensics
 </li>
 <li>
 Quality assurance review
 </li>
 <li>
 Process review
 </li>
 </ul>
 
 
 
 
 
 Primary Job Responsibilities/Accountabilities
 
 
 
 
 
 
 
 
 
 
 Ability to undertake the following types of engagement
 
 <ul>
 <li>
 Risk-based internal audits;
 </li>
 <li>
 Process reviews;
 </li>
 <li>
 Cost improvement reviews;
 </li>
 <li>
 Compliance reviews;
 </li>
 <li>
 Corporate governance advisory;
 </li>
 <li>
 Enterprise risk management; and
 </li>
 <li>
 Quality assurance reviews
 </li>
 </ul>
 
 
 
 
 
 The Individual
 
 
 
 
 
 
 Minimum qualifications &amp; experience:
 
 <ul>
 <li>
 A recognized degree in Accounting/ Finance/ Business or related disciplines.
 </li>
 <li>
 A professional qualification, e.g., ICAEW, ACCA, CPA and/or Masters/ CIA and/or CISA qualifications (an advantage)
 </li>
 <li>
 A minimum of 1-8 years&rsquo; internal audit experience gained in a large audit and /or consulting firm, or a leading commercial organization.
 </li>
 <li>
 
 Required to be fluent in both Arabic and English, written and spoken.
 
 </li>
 </ul>
 
 
 
 
 
 
 
 
 Why joining KPMG is beneficial for you:
 
 
 
 
 
 
 It is more than a career opportunity! It is a chance to join a high-performing team that delivers a broad range of solutions to clients across different industries.
 
 
 
 
 <ul>
 <li>
 We&rsquo;re fully committed to developing a lifelong learning culture.
 </li>
 <li>
 We recognize potential, nurture talent, and reward high performance.
 </li>
 <li>
 We offer tax-free income.
 </li>
 </ul>
 
 
</div>

Internal Auditor

TP ICAP

<div>The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy &amp; Commodities broker in the world, the world&rsquo;s leading provider of OTC data, and an award winning all-to-all trading platform.
Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 people strong. We work as one to achieve our vision of being the world&rsquo;s most trusted, innovative, liquidity and data solutions specialist. 
Role Overview
 
This role serves as the Compliance Monitoring Associate &amp; Money Laundering Reporting Officer (MLRO) for TP ICAP&rsquo;s Bahrain offices. The position is responsible for ensuring the effective operation of the compliance and anti-financial crime frameworks, maintaining strong relationships with the Central Bank of Bahrain (CBB) and other regulatory bodies, and upholding the highest standards of governance and ethical conduct. 
Reporting to the Head of Middle East Compliance (and indirectly to the Head of Compliance, EMEA) with a local dotted line to the General Manager, Bahrain, the role is central to maintaining regulatory compliance, managing internal controls, and fostering a culture of integrity across the Bahrain office. 
The successful candidate will act as a key point of contact for the regulator, exchanges, clearing houses, and internal stakeholders&mdash;balancing oversight responsibilities with proactive advisory support. 
Role Responsibilities
Core Compliance &amp; Advisory
<ul><li>Act as the Compliance Officer and MLRO for the Bahrain offices.
</li><li>Manage the firm&rsquo;s relationship with the CBB and act as primary point of contact with the regulator.
</li><li>Review, maintain, and enhance all Compliance and AML policies and procedures, ensuring they remain aligned with regulatory expectations and Group standards.
</li><li>Provide day-to-day Compliance Advisory support to the Bahrain business.
</li><li>Ensure completion of the Compliance Monitoring Programme, escalating issues as appropriate.
</li><li>Monitor and manage FX trade alerts and other surveillance notifications from the Group Surveillance Team.
</li><li>Oversee the client onboarding process, ensuring accurate completion of PEP and Sanctions checks.
</li><li>Identify, document, and address any breaches of Compliance or AML policy.
</li><li>Support the delivery of mandatory Compliance and AML training for Bahrain staff and ensure timely completion.
</li><li>Provide ad-hoc training or awareness sessions as required by the business. 
</li></ul>AML &amp; Financial Crime Responsibilities
<ul><li>Lead the management and submission of Suspicious Transaction Reports (STRs) to the Anti-Money Laundering Unit (AMLU).
</li><li>Prepare and present the annual AML/CFT report to senior management.
</li><li>Ensure compliance with all applicable AML, CFT, and sanctions regulations.
</li><li>Promote awareness and understanding of AML obligations across the office. 
</li></ul>Regulatory &amp; External Relationship Management
<ul><li>Act as key point of contact for CBB, exchanges, clearing houses, and other trading venues.
</li><li>Respond to regulatory queries and coordinate information requests or inspections.
</li><li>Ensure timely and accurate regulatory reporting. 
</li></ul>Complaints Handling
<ul><li>Act as the Complaints Officer for the Bahrain offices.
</li><li>Receive, log, and manage internal and external complaints.
</li><li>Investigate issues in coordination with relevant departments.
</li><li>Provide appropriate and timely feedback to clients and notify CBB or other authorities where required.
</li><li>Maintain a clear complaints register and submit quarterly reports to the CBB.
</li><li>Collaborate with the Middle East Data Protection Officer on any complaints involving data breaches or processing of sensitive information. 
</li></ul>Additional Responsibilities
<ul><li>Support the General Manager and office leadership with general administrative or governance-related duties where required.
</li><li>Contribute to continuous improvement initiatives to enhance compliance efficiency and risk management. 
</li></ul>Experience &amp; Competencies
Essential
<ul><li>3-5 years of experience as a Compliance Officer and/or MLRO within a regulated financial services institution.
</li><li>Proven knowledge of CBB regulations, AML/CFT laws, and regulatory reporting requirements.
</li><li>Demonstrable experience managing regulatory relationships and responding to regulator inquiries.
</li><li>Experience in compliance monitoring, surveillance oversight, and risk-based testing.
</li><li>Sound understanding of client onboarding, PEP/sanctions screening, and KYC requirements.
</li><li>Demonstrated communication and stakeholder engagement skills, capable of interacting effectively with senior management, regulators, and external partners.
</li><li>Excellent attention to detail, analytical skills, and ability to manage multiple priorities.
</li><li>High integrity, professionalism, and discretion when handling sensitive information.
</li><li>CBB registration as Compliance Officer and MLRO (or ability to obtain upon appointment).
</li><li>ICA Certificate in Compliance (with Merit) or equivalent recognised qualification. 
</li></ul> 
Desired
<ul><li>Experience within an interdealer broker, investment firm, or financial market infrastructure provider.
</li><li>Familiarity with third-party risk management and outsourcing oversight frameworks.
</li><li>Working knowledge of data protection and information security regulations.
</li><li>Exposure to governance reporting, including board-level compliance updates.
</li><li>Experience supporting compliance within multi-jurisdictional environments.
</li><li>Advanced report writing and presentation skills.
</li><li>Bachelor&rsquo;s degree or higher (preferably in Law, Finance, Business, or related discipline). 
 
</li></ul>Band &amp; Level
<ul><li>Professional / 5
</li></ul>#LI-ASO #LI-Hybrid
Not The Perfect Fit?
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
Bahrain - Government Ave (Tullett Liberty) - Manama</div>

Compliance Monitoring Associate & MLRO, Bahrain

Riverstone Companies, LLC

Job Summary We are seeking a dynamic and experienced Commercial Real Estate Advisor / Senior Advisor to join our vibrant team. In this role, you will be at the forefront of commercial property transactions, providing expert guidance to clients and stakeholders. Your energetic approach will drive successful negotiations, foster strong relationships, and deliver exceptional service. As a key player in our organization, you will leverage your extensive knowledge of the commercial real estate market, legal regulations, and marketing strategies to facilitate seamless property deals and maximize client satisfaction. This position offers an exciting opportunity to influence the growth of our portfolio while working in a fast-paced, collaborative environment.Responsibilities<ul><li>Lead and manage commercial property transactions from initial inquiry through closing, ensuring all steps adhere to legal and regulatory standards such as Fair Housing regulations.</li><li>Conduct market research and develop targeted marketing strategies to attract potential clients and tenants for available properties.</li><li>Negotiate lease agreements, sales contracts, and other transaction terms with clients, vendors, and partners to secure favorable outcomes.</li><li>Provide comprehensive customer service by addressing client inquiries promptly, understanding their needs, and offering tailored real estate solutions.</li><li>Maintain organized records of all property listings, client interactions, legal documents, and transaction details using effective administrative practices.</li><li>Stay informed about current market trends, property management practices, and real estate law to offer expert advice and strategic insights.</li><li>Collaborate with property management teams to ensure properties are well-maintained and compliant with all relevant regulations.</li></ul>Qualifications<ul><li>Proven experience in commercial real estate sales or advisory roles with a strong track record of successful transactions.</li><li>Exceptional negotiation skills with the ability to close deals effectively while maintaining positive client relationships.</li><li>Strong marketing acumen combined with excellent communication skills to promote properties and engage clients across diverse channels.</li><li>Multilingual or bilingual abilities are highly desirable to serve a diverse client base effectively.</li><li>Knowledge of Fair Housing regulations, real estate law, and property management practices is essential for compliance and best practices.</li><li>Demonstrated customer service orientation with the ability to understand client needs and deliver tailored solutions.</li><li>Organizational skills with experience managing multiple transactions simultaneously while maintaining attention to detail.</li><li>Previous experience in real estate administration or legal documentation is preferred to ensure smooth transaction processes. Join us as a Commercial Real Estate Advisor / Senior Advisor and be part of a passionate team dedicated to excellence in real estate services! We value energetic professionals who thrive on building relationships, closing deals, and making impactful contributions in a dynamic environment.</li></ul>Pay: $1.00 - $100,000.00 per yearLicense/Certification:<ul><li>Texas Real Estate License (Required)</li></ul>Work Location: In person

COMMERCIAL REAL ESTATE ADVISOR / SENIOR ADVISOR

Search 10000+ Compliance advisor jobs near you this May. New roles added regularly across leading industries. Apply today.