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The Area: The Information Security department is responsible for setting enterprise security policies and standards that are designed to protect the confidentiality, integrity and availability of Morningstar information. The security team offers guidance and technical expertise in areas like application security, policies and procedures, disaster recovery and compliance/regulation. We analyze emerging security threats and conduct risk and vulnerability assessments to ensure that our information remains secure.
The Role: The Information Security Team is looking for a Lead IT Compliance Analyst to join the IT Compliance Team. The Lead IT Compliance Analyst will help support Morningstar Information Security’s compliance responsibilities around regulatory compliance and PCI DSS. This individual will help Morningstar meet current and future compliance obligations, assist in identifying and following up on information security findings, gather evidence required for internal and external regulatory audits. This position is based in our Toronto office.
Responsibilities:
Requirements:
Nice To Have:
100_MstarResCanad Morningstar Research, Inc. (Canada) Legal Entity
Morningstar’s hybrid work environment gives you the opportunity to work remotely and collaborate in-person each week. We’ve found that we’re at our best when we’re purposely together on a regular basis, at least three days each week. A range of other benefits are also available to enhance flexibility as needs change. No matter where you are, you’ll have tools and resources to engage meaningfully with your global colleagues.
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Job Description
What you will do:
Key responsibilities include:
Requirements:
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Test Analyst
Who are Diligenta?
Diligenta's vision is to be acknowledged as Best in-class Platform based Life and Pensions Administration Service provider. Customer service is at the heart of everything we do, and our aim is to transform our clients' operations. A business that has been described as 'home' by existing employees, we drive a culture that is founded on positive change and development.
The Opportunity
There is an excellent opportunity for a Test Analyst to join our teams in either Bristol, Basingstoke or Peterborough. The role will be working with life and pension products, so experience in that sector is required.
You be robustly testing the BαNCS systems from a business perspective and ensure a smooth delivery into production both for production support releases and new Transformation releases by:
This role is hybrid, so 3 day p/w would be acceptable. There may be times you have to come in more frequently for workshops or large-scale meetings.
You'll be:
You should apply if you:
The Perks
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Summary of the Role
The Compliance Analyst is a full-time role based in Singapore. The Analyst will be responsible for supporting Know Your Customer (KYC) according to the company’s AML/CFT policy and procedures in coordination with onboarding clients, on-going customer due diligence and preparing reports for submission to the regulators and management.
This role has functional reporting to the Chief Compliance Officer.
Primary Responsibilities:
Minimum Qualifications
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Job Description & Requirements
Requirements:
Other information :
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Compliance Analyst will have overall responsibility in supporting various regulatory compliance initiatives (with particular focuses on P2P, payment system provider (PJP) and multifinance businesses) and ensuring that all compliance requirements are met – this includes:
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At H&P, our people are our strength.
At H&P, our people are our strength.
Since 1920, Helmerich and Payne has been the industry’s most trusted partner in drilling productivity and reliability. As the world changes, so does our approach. We are changing the landscape of drilling by using cutting-edge rig technologies and drilling solutions to build upon a century of success, all while continuing to deliver better outcomes for our customers.
At H&P, our people are our strength. We strive to continually lead with our Core Values that enable employees to develop on their H&P Journey. We believe that doing the right thing means creating a more diverse, equitable, and inclusive workplace that empowers our people to bring their authentic selves to work every day.
Some companies offer career paths. We offer a Journey of a Lifetime. Let's go far, together.
Hear directly from our employees, and leaders about their unique journeys at Helmerich and Payne.
Location: Oklahoma / Texas / Louisiana / Mississippi
Work Type: Remote
Duration: Contract minimum of 6 months with potential for conversion to full-time hire
#LI-Remote
This position is expected to be filled in a work location that is within the states of Colorado, Louisiana, Mississippi, Oklahoma, or Texas.
At a Glance:
The Senior IT Compliance Analyst is the primary representative for H&P on all aspects of IT audit and regulatory compliance activities. This position will interface regularly with key stakeholders across the company to obtain remediation plans for risks and audit activities, track those remediation plans, gather evidence that the activities were completed successfully, and update IT Risk management metrics and KPIs.
What you will do:
Provide direct support, as required, for IT-related compliance efforts to ensure a culture of continuous improvement and the ability to meet H&P’s compliance requirements from regulatory stakeholders, customers, and internal oversight functions
Work directly with IT Governance and Response, internal stakeholders, and external parties (e.g. customers, vendors, auditors) to improve and continue to build H&P’s IT compliance management program
Champion fiduciary responsibility of control owners and contribute to audit quality through best practice recommendations in retaining control evidence and clear audit trails
Develop, maintain, execute, and report on a robust and repeatable process for the identification, analysis, and tracking of IT-related compliance findings
Negotiate and act as an intermediary with Internal Audit and internal teams to close current and future audit items
Develop and maintain a controls self-attestation process for IT compliance controls with identified metrics and KPIs to monitor effectiveness
Review designs and suggest changes to remediation plans of deficiencies identified in SOX, ESG, security audits or customer compliance inquiries.
Provide continuous assessment and analysis of trends, control gaps or deficiencies to leadership. Meet with stakeholders to inform them of issues, assess appropriate mitigation and remediation activities, and track the agreed upon progress of those activities
Monitor industry regulatory environment, and closely related or connected industries, for changes and impacts that may affect H&P’s IT compliance posture. Assess the associated risk towards compliance for the organization and provide timely recommendations and reporting
Leverage metrics and KPIs, to provide leadership and cross-functional teams with actionable recommendations for improvements to systems, processes, and / or procedures that will reduce overall enterprise risk associated with regulatory compliance for IT processes
Support driving overall behavioral changes that result in a compliance-focused culture at H&P
Assist in the development, maintenance, and oversight of IT-related policies, procedures, standards, and associated documentation
Recommend changes to procedural documentation to encourage meeting compliance and regulatory objectives
Coordinate organizational responses to standardized assurance questionnaires on behalf of H&P’s customers and partners
Evaluate IT programs and activities, under standard industry frameworks such as ISO 27001, IADC guidelines and standards, NIST Cybersecurity Framework (CSF), NIST SP 800-53, and other related or applicable documentation
Demonstrate the H&P Company Values: Actively C.A.R.E., Service Attitude, Innovative Spirit, and Teamwork
What you need:
Bachelor’s Degree in Computer Science, MIS, Cybersecurity or Information Assurance or equivalent
Minimum of 5+ years of experience in IT auditing, risk management, oversight and reporting, or related activities
Experience and knowledge of common regulatory and risk related frameworks such as NIST CSF, AICPA SOC 2, ISO27001/2, SOX etc.
Experience performing or directly supporting risk assessments (internal and external), threat and vulnerability assessments, and related activities
Ability to analyze incomplete sets of information and make recommendations based on known values and reasonable assumptions for what is not known
Proven ability to improve and enhance corporate IT compliance and related programs, as well as an in-depth ability to gather, analyze, and report on deficiencies and remediation plans from multiple sources involving several stakeholder groups.
Ability to implement feedback loops for stakeholders to make incremental performance improvements over time
Working knowledge of operating systems (Windows, Linux, OSX, etc.), business applications, logging, virtualization technologies; and related server, networking, and workstation protocols and security issues
Working knowledge of enterprise IT concepts (Hybrid Cloud Infrastructure, DevOps, Infrastructure as Code (IaC), etc.) and how these technologies impact compliance posture
Experience working within teams and with external (corporate and third-party) groups, preferably within an IT operations environment
Highly motivated, self-starting individual with ability to multi-task and manage to timelines with limited supervision in a fast paced and agile environment
Proven strong oral and written communication / presentation skills to a broad range of employees. Ability to clearly communicate and articulate technical details to IT and Engineering personnel, but also simplify explanations for non-technical individuals and executives
Strong interpersonal skills that establish and sustain close working relationships with functional teams and subject matter experts both internal and external to IT
Not a must, but a plus
Oil and Gas, other Critical Infrastructure, or regulated industry preferred
This is a contract position providing services to Helmerich & Payne (H&P) through a third-party staffing agency. If you are selected for this role, you will be an employee of the agency and not H&P.
H&P is committed to employing a diverse workforce. Qualified applicants will receive consideration without regard to race, color, religion, sex, national origin, age, sexual orientation, gender identity, gender expression, veteran status, or disability.
For more information on benefits and job opportunities, please visit Careers | Helmerich & Payne, Inc.
Thank you for your interest in joining our team!
Thank you for your interest in joining our team!
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CLIENT: Energy trading firm
COVERAGE: Regional
SUMMARY
Oversee the control activities across the region and to ensure that our control framework is governing our business operation in a safe and compliant manner.
Identify weaknesses within the organization's IT processes and infrastructures and ensure that proper measures are implemented to minimize such risk. Ensure that an optimised set of business process maps are in place and our internal procedures are promptly updated to reflect the agreed framework.
Work closely with both commercial and functional teams, to provide solutions/ recommendations to improve the controls and drive efficiency through continuous improvement. Proactively look out for any breach of procedure by our staff and potential control gap that could create a material risk to our organisation.
Responsible for collating global Internal Control reporting information that is required by both internal management and external stakeholders.
THE ROLE
Ensure an appropriate and tailored IT risk framework is in place and aligned with the overall IC framework;
Proactively identify IT control gaps and work closely with IT team on the risk mitigations plan and documentation
Conduct reviews on the privilege ID usage, ETRM and Finance systems’ user access rights to ensure adherence to access controls standards
Provide support on IT risk and control type of initiatives, including new system implementation and significant system change projects to ensure that proper controls are considered and included at the design-phase
Ensure an optimised set of business process maps is in place and aligned with the system controls;
Lead and conduct IT related control gaps/incidents reviews, including root cause analysis, identification of mitigating controls, follow-up on the remediation actions
Proactively identify control and process improvement initiatives and drive continuous improvement in the organization
Provide internal control guidance and support to commercial and functional teams in managing the operational risks, and ensuring the quality and consistency of the internal procedures from an IC perspective
Coordinate the Operational Sign Off process for all new business activity/product and tracking action items signed off by relevant functions
Perform daily controls monitoring and review
Compile and prepare key risk indicator report on a monthly and ad-hoc basis
Ensuring consistency of IC approach across the whole company
Coordinate and ensure key company policies and procedures are updated annually and are aligned to our Parents’ Internal Control requirements;
Provide assistance to both internal and external audits, including J-Sox reporting, and ensure timely completion of all open actions.
Degree in Computer Science, Information Systems/Security, Business Management or its equivalent, with professional certification in security and controls
Minimum of 5 years relevant industry experience in risk and control management within IT or IT audit
Broad exposure to a range of diverse technology, security concepts, tools, and methodologies
Experienced in reviewing technology domains across infrastructure, applications, cyber security, cloud technology, IT governance processes
Experience in IT incident investigation and reporting
Experience in an energy/commodity trading environment, or related regulatory environment an advantage
Experience in Sarbanes-Oxley/J-Sox reporting preferred
Knowledge of Application Security frameworks and standards
Competent in the full suite of MS Office packages – specifically Word, Excel, Visio PowerPoint applications.
Competency in use of data analytics and visualization tools (e.g. Power BI, Python, SQL, ACL, Alteryx, Tableau) is a considerable advantage.
Knowledge of Allegro, SUN, CubeLogic, ZEMA and IMOS would be an advantage
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Compliance Analyst
Chippenham
£40-45K
Permanent
Our client is one of the largest Fleet Services companies in the world. As a global business, they offer a fully outsourced, end-to-end finance lease, vehicle management and electric vehicle solution. Due to the continues growth within the company, they are looking for a Compliance Analyst to join the team in Chippenham. The position is a permanent role and offers a hybrid working model.
Key Responsibilities – Compliance Analyst
• Preparation of a data template to be provided to customers to obtain the specifications of their fleet and records of their compliance and maintenance events. Evaluation of the data received with analysis of the compliance to the statutory requirements and validation with the customer in readiness for uploading into Holman’s fleet management system.
• Daily, weekly and monthly reporting relating to the compliance of Holman’s customers’ fleets in relation to O Licence, statutory and planned maintenance requirements. Providing analysis that identifies actions required to maintain the highest level of compliance.
• Preparation and presentation of the findings, conclusions and recommendations following audits conducted on customer fleet.
• compliance with Operating Licence requirements and maintenance regimes.
• Establishing subject matter expertise with regarding the use, administration and configuration of Holman’s transport planning system.
• Assist in the implementation of any changes to policy and procedures.
• Perform all other duties and special project as assigned.
Qualifications & Experience – Compliance Analyst
• Educated to A Level standard.
• Good knowledge & understanding of the compliance requirements for the operations of h heavy goods vehicles.
• High degree of spreadsheet modelling and analysis skills.
• Ability to interact and create positive impressions with customers and colleagues alike.
• Good communications skills and articulation of the results of the analysis undertaken and of the data/information required.
• High proficiency with Microsoft Office Suite (Excel, Word, Power Point, etc.)
• 3-5 years compliance experience preferred
For more information on this role, please contact Kieren Provis on 01453 829776, or send a copy of your CV to Kieren.Provis@omegaresource.co.uk
Omega Resource Group is acting as an Employment Agency in relation to this vacancy. Omega Resource Group is an employment agency specialising in opportunities at all levels within the Engineering, Aerospace, Automotive, Electronics, Defence, Scientific, Oil & Gas, Construction and Manufacturing sectors. For details of other opportunities available within your chosen field please visit our website www.omegaresource.co.uk
Omega Resource Group is acting as an Employment Agency in relation to this vacancy.
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Compliance Analyst
Birmingham
£40-45K
Permanent
Our client is one of the largest Fleet Services companies in the world. As a global business, they offer a fully outsourced, end-to-end finance lease, vehicle management and electric vehicle solution. Due to the continues growth within the company, they are looking for a Compliance Analyst to join the team in Bitrminhgam.
Key Responsibilities – Compliance Analyst
• Preparation of a data template to be provided to customers to obtain the specifications of their fleet and records of their compliance and maintenance events. Evaluation of the data received with analysis of the compliance to the statutory requirements and validation with the customer in readiness for uploading into Holman’s fleet management system.
• Daily, weekly and monthly reporting relating to the compliance of Holman’s customers’ fleets in relation to O Licence, statutory and planned maintenance requirements. Providing analysis that identifies actions required to maintain the highest level of compliance.
• Preparation and presentation of the findings, conclusions and recommendations following audits conducted on customer fleet.
• compliance with Operating Licence requirements and maintenance regimes.
• Establishing subject matter expertise with regarding the use, administration and configuration of Holman’s transport planning system.
• Assist in the implementation of any changes to policy and procedures.
• Perform all other duties and special project as assigned.
Qualifications & Experience – Compliance Analyst
• Educated to A Level standard.
• Good knowledge & understanding of the compliance requirements for the operations of h heavy goods vehicles.
• High degree of spreadsheet modelling and analysis skills.
• Ability to interact and create positive impressions with customers and colleagues alike.
• Good communications skills and articulation of the results of the analysis undertaken and of the data/information required.
• High proficiency with Microsoft Office Suite (Excel, Word, Power Point, etc.)
• 3-5 years compliance experience preferred
For more information on this role, please contact Kieren Provis on 01453 829776, or send a copy of your CV to Kieren.Provis@omegaresource.co.uk
Omega Resource Group is acting as an Employment Agency in relation to this vacancy. Omega Resource Group is an employment agency specialising in opportunities at all levels within the Engineering, Aerospace, Automotive, Electronics, Defence, Scientific, Oil & Gas, Construction and Manufacturing sectors. For details of other opportunities available within your chosen field please visit our website www.omegaresource.co.uk
Omega Resource Group is acting as an Employment Agency in relation to this vacancy.
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JOB DUTIES:
JOB REQUIREMENTS:
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Responsibilities:
Qualifications:
It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.
At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.
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Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!
We are currently looking to hire a Supervisory Principal on the Advisor Review team in Supervision within the Client Success Organization. The Advisor Review Supervisory Principal is a first line defense function responsible for the reviews of high-risk representatives wishing to join LPL Financial, reviews of Outside Business Activity and Private Securities Transaction Requests for advisors as well as “day one” marketing materials for new offices joining LPL Financial. The Supervisory Principal will work closely several departments/groups throughout LPL.
Responsibilities:
Requirements:
Other Job Duties:
Pay Range:
$62,200-$93,300/year
At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.
We are one team on one mission. We take care of our advisors, so they can take care of their clients.
Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.
Want to hear from our employees on what it’s like to work at LPL? Watch this!
We take social responsibility seriously. Learn more here
Want to see info on our benefits? Learn more here
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
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As one of the world’s leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world.
If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day!
Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules on order management system Address compliance alerts/warnings (mainly overnight compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process Perform review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with relevant stakeholders to ensure rectification Assist in resolving queries with regional compliance teams Regular Rule maintenance on trading application i.e. Charles River Development (CRD) Conduct Account Mapping / Review viz a viz applicable rule Assist with ongoing review of relevant processes and procedures to ensure best practice Prepare/support Analytics for Investment Compliance function to Executive Compliance Leadership Conduct forensic, periodic, and transactional testing to ensure compliance of the investment manager, with all applicable state, federal and self-regulatory agency requirements. Interact with members of regional and global compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls. Respond to basic and intermediary queries from team members and report to manager for any escalation Assist in Compliance related projects and initiatives. Effectively find solutions to compliance issues as they arise.
Working Timings:
Timing would be primarily aligned to Americas Region i.e. 5:30pm to 2:30am IST however this is subject to change based on business requirement from time to time. Also, day light saving would have an effect on the timings.
Work Experience / Knowledge:
2 to 4 years of work experience in investment compliance with an investment advisor or mutual fund group. Good understanding of capital markets, financial products and asset management industry.
Skills / Other Personal Attributes Required:
Formal Education: (minimum requirement to perform job duties)
B. Com / M. Com / MBA /CA / Degree in Commerce/Finance
Influence and Partnership
• Communicates moderately complex information
• Ensures underlying details are clarified
At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least three days a week, with two days working outside an Invesco office.
Why Invesco
In Invesco, we act with integrity and do meaningful work to create impact for our stakeholders. We believe our culture is stronger when we all feel we belong, and we respect each other’s identities, lives, health, and well-being. We come together to create better solutions for our clients, our business and each other by building on different voices and perspectives. We nurture and encourage each other to ensure our meaningful growth, both personally and professionally.
We believe in diverse, inclusive, and supportive workplace where everyone feels equally valued, and this starts at the top with our senior leaders having diversity and inclusion goals. Our global focus on diversity and inclusion has grown exponentially and we encourage connection and community through our many employee-led Business Resource Groups (BRGs).
What’s in it for you?
As an organization we support personal needs, diverse backgrounds and provide internal networks, as well as opportunities to get involved in the community and in the world.
Our benefit policy includes but not limited to:
In Invesco, we offer development opportunities that help you thrive as a lifelong learner in a constantly evolving business environment and ensure your constant growth. Our AI enabled learning platform delivers curated content based on your role and interest. We ensure our manager and leaders also have many opportunities to advance their skills and competencies that becomes pivotal in their continuous pursuit of performance excellence.
To know more about us
About Invesco: https://www.invesco.com/corporate/en/home.html
About our Culture: https://www.invesco.com/corporate/en/about-us/our-culture.html
About our D&I policy: https://www.invesco.com/corporate/en/our-commitments/diversity-and-inclusion.html
About our CR program: https://www.invesco.com/corporate/en/our-commitments/corporate-responsibility.html
Apply for the role @ Invesco Careers: https://careers.invesco.com/india/
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