compliance associate

Fernridge Group

<div>
 <p>
  Title: Compliance Associate
 </p>
 <p>
  Location: Los Angeles, CA
 </p>
 <p>
  Compensation Range: Competitive; commensurate with experience
 </p>
 <p>
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 </p>
 <p>
  Job Overview:
 </p>
 <p>
  <br/>
 </p>
 <p>
  A leading investment management firm with over $20B in AUM is seeking a Compliance Associate to support the administration and enhancement of its regulatory compliance program. This role will work closely with the compliance team to support the firm&rsquo;s SEC-registered investment adviser obligations and ensure adherence to regulatory requirements across the organization. The position offers broad exposure to compliance operations including Code of Ethics administration, marketing review, regulatory filings, and internal testing within a collaborative and fast-paced investment environment.
 </p>
 <p>
  <br/>
 </p>
 <p>
  Highlights:
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Work closely with compliance leadership and cross-functional teams
  </li>
  <li>
   Hands-on experience with Code of Ethics administration and marketing rule compliance
  </li>
  <li>
   Opportunity to help enhance compliance technology and processes
  </li>
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   Collaborative environment with strong internal partnerships
  </li>
  <li>
   Firm is huge on internal mobility/promotions
  </li>
 </ul>
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 </p>
 <p>
  Key Responsibilities:
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Administer the firm&rsquo;s Code of Ethics, including personal trading approvals, reporting, and restricted list management
  </li>
  <li>
   Assist with the review and approval of marketing and branding materials
  </li>
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   Support oversight of third-party compliance vendors and technology platforms
  </li>
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   Assist with annual compliance reviews, mock examinations, and focused testing
  </li>
  <li>
   Support preparation of regulatory filings and documentation
  </li>
  <li>
   Conduct compliance research and assist with internal projects
  </li>
  <li>
   Develop compliance training materials and internal communications
  </li>
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   Maintain organized compliance documentation and records
  </li>
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   Monitor regulatory developments and industry best practices
  </li>
  <li>
   Identify potential improvements to compliance processes and tools
  </li>
  <li>
   Assist with ESG-related compliance initiatives and special projects
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  Qualifications:
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Bachelor&rsquo;s degree required
  </li>
  <li>
   2&ndash;3 years of compliance experience at an SEC-registered investment adviser preferred
  </li>
  <li>
   Familiarity with the Investment Advisers Act of 1940 and related rules (including Rule 206(4)-1)
  </li>
  <li>
   Strong written and verbal communication skills
  </li>
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   Highly detail-oriented with strong organizational and analytical skills
  </li>
  <li>
   Ability to manage multiple priorities in a fast-paced environment
  </li>
  <li>
   Proficiency in Microsoft Excel, Word, and PowerPoint
  </li>
  <li>
   Experience with compliance platforms such as ComplySci, Red Oak, Global Relay, or similar systems is a plus
  </li>
 </ul>
 <p>
 </p>
</div>


Compliance Associate

The Hollister Group

<div>
 <p>
  <strong>
   Compliance Associate
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Overview:
  </strong>
 </p>
 <p>
  Our client, a prestigious law firm, is seeking a diligent and detail-oriented Compliance Associate to join their dedicated team. This role offers a unique opportunity to work within a collaborative environment that emphasizes work-life balance, professional growth, and community engagement. You will play a vital part in ensuring the firm remains compliant with regulatory standards, supporting critical functions that uphold the company's integrity and reputation.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Compensation:
  </strong>
 </p>
 <p>
  $80,000 - $110,000 yearly salary
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Responsibilities:
  </strong>
 </p>
 <ul>
  <li>
   Collaborate closely with the Chief Compliance Officer to manage SEC and banking reporting and compliance tasks
  </li>
  <li>
   Contribute to the SEC and bank examination processes, including follow-up actions
  </li>
  <li>
   Oversee the timely preparation and submission of federal and state regulatory filings, ensuring adherence to relevant requirements such as Form ADV, Form CRS, and Form U4/U5
  </li>
  <li>
   Maintain and update the compliance calendar to track important deadlines
  </li>
  <li>
   Support the annual custody and SOC 1 audits with accurate documentation and coordination
  </li>
  <li>
   Manage the firm's pre-clearance policies, providing guidance and responding to employee inquiries
  </li>
  <li>
   Monitor trading activities, investigate alerts, and resolve violations
  </li>
  <li>
   Keep track of and communicate updates related to restricted securities and compliance policies
  </li>
  <li>
   Maintain accurate compliance records, documentation, and databases
  </li>
  <li>
   Generate reports on key compliance activities and ensure data accuracy
  </li>
  <li>
   Stay informed on regulatory changes, communicating and implementing updates across teams
  </li>
  <li>
   Liaise with internal personnel, external service providers, and regulatory agencies as needed
  </li>
  <li>
   Assist with miscellaneous compliance and risk mitigation activities
  </li>
  <li>
   Review and recommend process improvements to strengthen adherence to laws, regulations, and policies
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Requirements:
  </strong>
 </p>
 <ul>
  <li>
   2 to 4 years of experience in compliance within legal, investment advisory, broker-dealer, banking, or fiduciary services settings
  </li>
  <li>
   Bachelor&rsquo;s degree or higher, with relevant professional experience
  </li>
  <li>
   Familiarity with the Investment Advisers Act of 1940 (preferred)
  </li>
  <li>
   Knowledge of fiduciary trust operations or investment businesses (preferred)
  </li>
  <li>
   Understanding of banking laws, including anti-money laundering and the bank secrecy act (preferred)
  </li>
  <li>
   Awareness of privacy laws and related regulations (preferred)
  </li>
  <li>
   IACCP&reg; designation is a plus
  </li>
  <li>
   Strong written and verbal communication skills with the ability to exercise tact and professionalism
  </li>
  <li>
   Advanced proficiency with Microsoft Office Suite, with adaptability to new software applications
  </li>
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   Proven capacity to take ownership of tasks and meet challenging deadlines
  </li>
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   Excellent attention to detail with effective follow-up abilities
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   Self-motivated with strong organizational skills and the ability to work efficiently under pressure
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   Exceptional interpersonal skills and a customer-focused mindset
  </li>
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   Analytical mindset with excellent proofreading capabilities
  </li>
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   Discretion and sound judgment in handling sensitive information
  </li>
  <li>
   High energy, enthusiasm for learning, and a professional demeanor
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Our Commitment to Inclusion &amp; Belonging
  </strong>
 </p>
 <p>
  The Hollister Group is an equal opportunity employer. We welcome and encourage applications from people who are under-represented in their respective occupation or position.
 </p>
</div>


One80 Intermediaries

<div><p>The Compliance Associate (&ldquo;CA&rdquo;) is responsible for gathering, preparing and maintaining client data and preparing client specific reporting requirements for different captive programs throughout the company. The CA will need to track and coordinate between various departments to prepare client specific forms. The CA will monitor and plan throughout the year to ensure all required forms are prepared on time in accordance with reporting deadlines. The CA must be creative and enjoy working within an entrepreneurial environment that is mission-driven, results-driven and community oriented. The CA will support functions associated with the Compliance Department on a wide variety of activities and Compliance related projects.</p><p></p><p><b>
Roles &amp; Responsibilities:</b></p><ul><li>
Review and prepare client specific forms required for tax filing purposes, including Form 8886, Form 8275 and additional forms, as required</li><li>
Track progress of form preparation to ensure timely filing requirements are met</li><li>
Assist with data gathering, analysis and submission for compliance purposes</li><li>
Enter data into client management software to track progress</li><li>
Periodically interface with clients/brokers regarding client specific state and federal reporting requirements</li><li>
Assist with the implementation and coordination of any new compliance processes</li><li>
Coordinate document requests, procedure changes, and other quality projects.</li><li>
Compile various reports for the Compliance Department</li><li>
Participate in various compliance projects, as requested</li></ul><p></p><p><b>
Qualifications:</b></p><ul><li>
Practical experience within the insurance industry in a Compliance role preferred but not required.</li><li>
Comprehensive knowledge of relevant software: Windows, Word&reg;/ Excel&reg;/ Powerpoint.</li><li>
Professional, flexible, team player with acute attention to detail/ excellent organizational skills and a passion for working cross-functionally</li><li>
Skilled in tracking and monitoring workflow, deadlines, and performance metrics</li><li>
Ability to effectively communicate, both verbal and written, with all levels in the organization</li><li>
Proactive and dynamic personality with superior communication skills (written, verbal and presentation)</li><li>
Ability to follow instructions and to work both independently and within a team environment</li><li>
Ability to work in a fast-paced environment, prioritizing multiple time-sensitive projects</li><li>
Proven ability to handle confidential information with discretion</li><li>
Demonstrated ability to prioritize responsibilities</li><li>
Ability to adhere to confidentiality expectations</li><li>
Strong decision-making and problem-solving skills</li><li>
Excellent communication skills, including written, verbal and presentation.</li></ul><p></p><p><i>
Oxford Risk Management Group, LLC was founded in 2010 and continues to provide the highest caliber of captive insurance in the nation. We excel in offering various claims services tailored to Enterprise Risk Management and Limited Lines Captive programs.</i></p><p></p><p><b>
Pay Range:</b></p>
$24.90 - $31.00 Hourly<p></p><p><i>
The pay range provided above is made in good faith and based on our lowest and highest annual salary or hourly rate paid for the role and takes into account years of experience required, geography, and/or budget for this role.</i></p><p></p><p>
One80 Intermediaries is an equal opportunity workplace and is committed to ensuring equal employment opportunity without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, Veteran status, or other legally protected characteristics.</p><p>
Learn more about working at One80 Intermediaries by visiting our careers page: www.one80.com/careers.</p><p></p><p>
Personal information submitted by California applicants in response to a job posting is subject to One80's California Job Applicant Privacy Notice .</p></div><p></p>

Risk Strategies

Contour Software

<div><p><b>About Contour</b></p><p></p><p>
Contour Software has grown from a dozen people to over 2,000 staff across 3 cities, in less than 14 years.</p><p><br>
As a subsidiary of Constellation Software Inc., we are proud to be part of a global enterprise software conglomerate that has grown to become one of the top 10 software companies in the world, with employees and customers in 100+ countries. With a broad-based and ever-growing portfolio of market-leading, vertical-market enterprise solutions covering more than 100 industry domains in predominantly mature markets, CSI's recipe creates the perfect environment for professionals to build fulfilling, long-term careers.</p><p><br>
What started as an R&amp;D &amp; Accounting back-office, has progressed into a full-service Global Centre serving all functions and departments, at the divisional as well as operating group/corporate level. Today Contour employees, located in Karachi, Lahore &amp; Islamabad, are serving CSI divisions located in time zones spanning the globe, from Sydney to Vancouver. With the global growth of Constellation as the wind in our sails, we are only just getting started!</p><p></p><div><p><b>
Division:</b></p></div><div><p><b>
Constellation Data Labs</b>, part of the Constellation Perseus Operating Group, is a real estate marketing technology company that delivers industry-leading solutions including real estate websites, mobile technologies, interactive voice response systems, and marketing services for home builders. The division focuses on providing innovative digital solutions that help real estate professionals enhance their online presence and streamline marketing operations.</p></div><div><p><br>
Division Link: https://cdatalabs.com</p></div><div><p><br>
We are seeking a proactive and detail-oriented <b>Data Compliance Associate</b> to join our team. In this role, you will support data onboarding and compliance processes by coordinating with MLS organizations and other data vendors, maintaining accurate client records, and ensuring data quality across supported systems. The ideal candidate thrives in a fast-paced, team-oriented environment and demonstrates strong analytical thinking, communication skills, and a commitment to maintaining high-quality data standards.</p></div><div><p><b><br>
Key Responsibilities:</b></p></div><div><ul><li><br>
 <b>Data Onboarding &amp; Offboarding:</b> Coordinate with MLS organizations and data vendors to facilitate smooth onboarding and offboarding of data sources.</li><li> <b>CRM &amp; Data Management:</b> Maintain updated records of clients and vendors across internal CRM systems supporting various business units.</li><li> <b>Case Documentation:</b> Maintain detailed and accurate case notes for all interactions with customers and vendors to ensure proper documentation and traceability.</li><li> <b>Issue Identification &amp; Escalation:</b> Proactively identify operational or compliance-related issues and escalate them with recommendations to management.</li><li> <b>System &amp; Workflow Support:</b> Utilize shared mailboxes, multiple CRM platforms, Microsoft SharePoint, and remote systems to manage onboarding and offboarding workflows.</li><li> <b>Financial Data Review:</b> Analyze monthly financial reports and compare actual figures with expected numbers to ensure accuracy.</li><li> <b>Variance Reconciliation:</b> Investigate and reconcile routine variances between expected and actual financial results using historical data.</li><li> <b>Escalation of Discrepancies:</b> Identify and escalate significant variances for additional review and resolution.</li><li> <b>Reporting &amp; Billing Support:</b> Compile client reports to assist with billing analysis and financial reporting processes.</li></ul></div><div><p><b><br>
Required Skills &amp; Experience:</b></p></div><div><ul><li><br>
 <b>Microsoft Office Proficiency:</b> Strong working knowledge of Microsoft Excel, Outlook, and SharePoint.</li><li> <b>Customer Service Experience:</b> Experience handling customer or vendor communication through email-based support.</li><li> <b>Communication Skills:</b> Excellent written communication skills with the ability to explain issues clearly and professionally.</li><li> <b>Analytical Thinking:</b> Strong logical reasoning and a methodical approach to identifying and solving problems.</li><li> <b>Attention to Detail:</b> High level of accuracy and strong organizational skills when managing data and documentation.</li><li> <b>Task Prioritization:</b> Ability to prioritize multiple responsibilities in a fast-paced operational environment.</li><li> <b>Team Collaboration:</b> Strong team player who can also take ownership of assigned tasks and responsibilities.</li></ul></div><div><p><b><br>
Desired Skills &amp; Experience:</b></p></div><div><ul><li><br>
 <b>Vendor Relationship Management:</b> Ability to build and maintain professional relationships with vendors through effective written communication.</li><li> <b>Financial Reconciliation Exposure:</b> Experience reviewing financial data and performing variance analysis <i>(optional)</i>.</li><li> <b>CRM Platform Experience:</b> Familiarity with working across multiple CRM systems and shared mailbox management <i>(optional)</i>.</li><li> <b>Self-Motivated Approach:</b> Resourceful, proactive, and eager to learn new processes while contributing knowledge to the team.</li><li> <b>Problem-Solving Mindset:</b> Ability to remain calm under pressure while focusing on practical and effective solutions.</li></ul></div><p></p><div><p><b><br>
Work Environment &amp; Shift Timings:</b></p></div><div><ul><li> <b>Standard Shift:</b> 8:00 AM &ndash; 5:00 PM Central Standard Time (7:00 PM &ndash; 4:00 AM Pakistan Standard Time)</li><li> <b>Work Setting:</b> Fast-paced, collaborative team environment requiring strong communication, attention to detail, and effective time management.</li></ul></div><p><b>
Exciting Benefits we offer:</b></p><ul><li><p>
Market-leading Salary</p></li><li><p>
Medical Coverage &ndash; Self &amp; Dependents</p></li><li><p>
Parents Medical Coverage</p></li><li><p>
Provident Fund</p></li><li><p>
Employee Performance-based bonuses</p></li><li><p>
Home Internet Subsidy</p></li><li><p>
Conveyance Allowance</p></li><li><p>
Profit Sharing Plan [Tenured Employees Only]</p></li><li><p>
Life Benefit</p></li><li><p>
Child Care Facility</p></li><li><p>
Company Provided Lunch/Dinner</p></li><li><p>
Professional Development Budget</p></li><li><p>
Recreational area for in-house games</p></li><li><p>
Sporadic On-shore training opportunities</p></li><li><p>
Friendly work environment</p></li><li><p>
Leave Encashment</p></li></ul><p></p><p><b><i>
Disclaimer:</i></b><i> At Contour, we attribute our success to the unique contributions of our diverse staff. We&rsquo;re committed to fostering a culture of respect that thrives on the varied perspectives and experiences of all individuals we recruit, employ, promote, and compensate. Since day one, we&rsquo;ve adhered to a policy that champions a work environment honoring the worth and dignity of each person while being free from all forms of employment discrimination.</i></p><p></p><p><i>
In our continuous effort to promote inclusivity, we extend our commitment to individuals with special needs by providing reasonable accommodations. We actively encourage qualified individuals with special needs to apply for the various openings within our company. Should you require assistance in completing the application process or have any inquiries regarding special facilities, please do not hesitate to contact our HR team. Your unique talents and abilities are welcomed and valued here.</i></p></div><p></p>

Data Compliance Associate

Avon Protection plc

<div><div><b>Job Title:</b> Group HR Systems and Compliance Associate</div>
<div><b>Business Unit:</b> Avon Technologies</div>
<div><b>Location:</b> This position can be based at any of the following locations. This is not a Remote position.</div>
<ul><li>Cadillac, MI, US</li>
<li>Salem, NH, US</li>
<li>Cleveland, OH, US</li>
<li>Melksham, Wiltshire, UK</li>
</ul>
<div></div><div><b>Purpose of the Position</b></div>
<div>The Group HR Systems &amp; Compliance Associate supports the Group Systems and Compliance Manager in the effective administration and day‑to‑day operation of the Group&rsquo;s HR systems and compliance processes. The role focuses on supporting data accuracy, system functionality, and regulatory compliance activities, while assisting with HR reporting, audits, and ongoing system maintenance.</div>
<div>Working closely with HR, Payroll, Finance, IT, and external vendors, the Associate helps maintain a consistent, compliant, and accurate employee data environment across the Group. The role also provides flexible support across HR systems, compliance, and project‑based initiatives as required to meet evolving business priorities.</div>
<div></div><div><b>Key Responsibilities</b></div>
<div><b>HR Systems &amp; Data Support</b></div>
<div>Provide day‑to‑day support for global HR systems, assisting with routine system tasks, data maintenance, and user enquiries.</div>
<div>Assist with the entry, validation, and maintenance of employee data, ensuring accuracy, consistency, and adherence to internal controls and data privacy requirements.</div>
<div>Support regular data audits and data cleansing activities to help maintain system integrity and data quality.</div>
<div>Assist in identifying basic system issues, data discrepancies, or process gaps, escalating complex issues to the Group Systems and Compliance Manager as appropriate.</div>
<div>Support the documentation and maintenance of standard operating procedures (SOPs), process flows, and system guidance materials.</div>
<div></div><div><b>Compliance &amp; Regulatory Support</b></div>
<div>Assist with HR compliance activities, including preparation, coordination, and data support for annual and periodic requirements such as:</div>
<ul><li>Affirmative Action Planning</li>
<li>EEO‑1 and BLS reporting</li>
<li>FLSA audits</li>
<li>State‑specific compliance updates</li>
<li>UK statutory and compliance requirements</li>
</ul><div>Support updates to system records, reports, and documentation to reflect regulatory, policy, or process changes under the guidance of the Manager.</div>
<div></div><div><b>Reporting &amp; Data Administration</b></div>
<div>Assist with the preparation, validation, and distribution of HR reports in line with reporting and compliance requirements.</div>
<div>Support basic data analysis, reconciliations, and quality checks to ensure reporting accuracy and consistency.</div>
<div>Maintain organised records and documentation related to reporting, audits, and compliance activities.</div>
<div></div><div><b>Projects, Benefits &amp; User Support</b></div>
<div>Provide support on HR systems and people‑related projects, including data preparation, testing assistance, documentation, and change support.</div>
<div>Support additional HR, systems, or compliance‑related projects as required, ensuring tasks are completed accurately and within agreed timelines.</div>
<div>Assist with annual open enrolment and employee benefits activities, including enrolment audits, data quality checks, vendor file feeds, and resolution of basic discrepancies.</div>
<div>Assist in the development of system‑related communications and training materials, including user guides and reference documents.</div>
<div>Provide user support and training assistance to HR system users, helping answer routine questions and improving system understanding and adoption.</div><br>
<div></div>
<div></div><div><b>Required Qualifications and Experience</b></div>
<div>Experience supporting HR systems or working in an HR, HR operations, compliance, or systems‑based role; experience with ADP is advantageous.</div>
<div>Strong attention to detail with an interest in HR systems, data accuracy, and compliance.</div>
<div>Degree‑level qualification in Human Resources, Business, or a related field, or equivalent practical experience.</div>
<div>Ability to handle confidential and sensitive information with integrity, professionalism, and discretion.</div>
<div>Comfortable working collaboratively with colleagues across functions, locations, and time zones.</div>
<div>Good organisational skills, with the ability to manage multiple tasks and priorities effectively.</div>
<div>Willingness to learn and develop technical skills and knowledge of HR systems and compliance requirements.</div>
<div>Clear written and verbal communication skills, with the ability to explain information in a helpful and user‑friendly manner.</div>
<div></div><div><b>Desirable / Preferred Experience</b></div>
<div>Exposure to U.S. and/or UK employment law, HR compliance, or regulatory reporting requirements.</div>
<div>Experience supporting HR reporting, audits, benefits administration, or system implementations.</div>
<div>Experience working within a global or multi‑site HR environment.</div>
<div></div><div><b>Why This Role Matters</b></div>
<div>The Group HR Systems &amp; Compliance Associate plays a key supporting role in maintaining accurate people data, supporting compliance obligations, and ensuring HR systems operate effectively across the Group. By providing dependable systems, data, and project support, the role contributes to operational efficiency, regulatory compliance, and consistent employee experience.</div>
<div></div><div><b>About Avon Technologies:</b></div>
<div>We design and produce life-critical personal protection solutions for the world&rsquo;s militaries and first responders. With a portfolio that includes Chemical, Biological, Radiological, Nuclear (&ldquo;CBRN&rdquo;), protection. We do this through our two brands, Avon Protection and Team Wendy. Our mission is to provide unparalleled protection for those who protect us, giving them the confidence to tackle challenging situations and helping them get home safe. At Avon Technologies, we recognize that our success relies on the collective efforts of our talented team. As an organization, we welcome individuals who embody our #FIERCE company values - fearlessness, integrity, excellence, resilience, collaboration, and the ability to execute.</div>
<div></div><div><b>We offer a comprehensive benefits package that includes the following:</b></div>
<ul><li>Flexible Schedule</li>
<li>Generous paid time off</li>
<li>Competitive Compensation Package</li>
<li>Learning and Development Opportunities</li>
<li>Bonus Plan</li>
<li>US Employee Stock Purchase Plan / UK Share Incentive Plan</li>
<li>401k Matching / UK Pension</li>
<li>Tuition Reimbursement Program</li>
<li>Mentorship Program
</li><li>Supplemental plans</li>
<li>US Company-paid life and AD&amp;D / UK Death in Service</li>
<li>Medical/Dental/Vision</li>
</ul>
<div></div><div>This job description is not intended, and should not be construed, to be an all-inclusive list of all responsibilities, skills, efforts or working conditions associated with this job. While this job description is intended to be an accurate reflection of the job requirements, management reserved the right to modify, add or remove duties from particular jobs and to assign other duties as necessary.</div>
<div></div><div>Responsibilities of this position may include direct and/or indirect physical or logical access to information, systems, technologies subjected to the regulations/compliance with U.S. Export Control Laws.</div>
<div></div><div>U.S. Export Control laws and U.S. Government Department of Defense contracts and sub-contracts impose certain restrictions on companies and their ability to share export-controlled and other technology and services with certain &quot;non-U.S. persons&quot; (persons who are not U.S. citizens or nationals, lawful permanent residents of the U.S., refugees, &quot;Temporary Residents&quot; (granted Amnesty or Special Agricultural Worker provisions), or persons granted asylum (but excluding persons in nonimmigrant status such as H-1B, L-1, F-1, etc.) or non-U.S. citizens.</div>
<div></div><div>To comply with these laws, and in conjunction with the review of candidates for those positions within Avon that may present access to export controlled technical data, Avon must assess employees' U.S. person status, as well as citizenship(s).</div>
<div></div><div>The questions asked in this application are intended to assess this and will be used for evaluation purposes only. Failure to provide the necessary information in this regard will result in our inability to consider you further for this particular position. The decision whether or not to file or pursue an export license application is at Avon's sole election.</div>
<div>Must be legally authorized to work in country of employment without a sponsorship for employment visa status (e.g. H1B status).</div>
<div></div><div>The anticipated salary range for candidates who will work in US $55,000.00 to $80,000.00 / UK &pound;35,000.00 to &pound;45,000.00 annually. The final salary offered to a successful candidate will be dependent on several factors that may include but are not limited to the type and years of experience within the job, type and years of experience within the industry, education, etc.</div>
<div></div><div><b>EOE, Including Vet/Disability</b></div></div>

Group HR Systems and Compliance Associate

TP ICAP

<div>
 The TP ICAP Group is a world leading provider of market infrastructure.
 <br/>
 <br/>
 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.
 <br/>
 <br/>
 Through our people and technology, we connect clients to superior liquidity and data solutions.
 <br/>
 <br/>
 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.
 <br/>
 <br/>
 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.
 <br/>
 <br/>
 <strong>
  Role Overview
  <br/>
  <br/>
 </strong>
 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.
 <br/>
 <br/>
 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.
 <br/>
 <br/>
 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.
 <br/>
 <br/>
 <strong>
  Role Responsibilities
  <br/>
  <br/>
 </strong>
 <u>
  Core Compliance &amp; Advisory
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <u>
  AML &amp; Financial Crime Responsibilities
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <u>
  Regulatory &amp; External Relationship Management
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <u>
  Complaints Handling
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <u>
  Additional Responsibilities
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Experience &amp; Competencies
  <br/>
  <br/>
 </strong>
 <u>
  Essential
  <br/>
  <br/>
 </u>
 <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.
   <br/>
   <br/>
  </li>
 </ul>
 <u>
  Desired
  <br/>
  <br/>
 </u>
 <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).
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Band &amp; Level
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Professional / 5
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Not The Perfect Fit?
  <br/>
  <br/>
 </strong>
 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.
 <br/>
 <br/>
 <strong>
  Company Statement
  <br/>
  <br/>
 </strong>
 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.
 <br/>
 <br/>
 <strong>
  Location
  <br/>
  <br/>
 </strong>
 Bahrain - Government Ave (Tullett Liberty) - Manama
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 <br/>
</div>


Compliance Monitoring Associate & MLRO, Bahrain

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Compliance Monitoring Associate & MLRO, Bahrain