Location: Napier

5.5 work day, Monday to Friday Office hour + half sat

Salary: $3.2k to $3.5k

Job Description:

• To provide guidance to warehouse personnel, oversee stock level, purchase orders, schedule agreements, expedite delivery of goods.
• Assist in goods release in batches for distribution or usage
• Oversee quality checks for incoming stocks and ensure quality compliance
• Liaise with laboratory on product non-conformance issue for feedback to supplier
• Conduct returned goods and assist in end-to-end disposition of non-conforming goods
• Schedule and review preventive maintenance for critical equipment
• Provide quality oversight to quality activities in laboratory operations including documentation and validation testing
• Schedule and review Installation, operational and performance qualification.
• Assist and support in regulatory inspections and audits
• Perform audit check on laboratory operations
• Maintain, and biennial review SOP and forms
• Review and approve change control plan
• Review Training and competency adequateness
• Review Corrective and preventive action adequateness
• Non-Conformance and Error trending analysis

Requirements:

- Min Diploma/Degree in Biological Sciences

If interested, please email your resume to alexgoh@recruitexpress.com.sg

➖

Alex Goh Hock Leong

(CEI.No: R1763413 l Recruit Express Pte Ltd (Healthcare & Life Science) | 99C4599)

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:

• Lead the Information Security Team’s efforts in the field of regulatory compliance and serve as the internal Subject Matter Expert (SME) for regulatory compliance assessments
• Oversee and guide efforts to ensure the information security program’s compliance with regulatory standards and guidelines issued by the SEC, ESMA, and other applicable regulators
• Serve as the main point of contact for information security regulatory compliance, facilitating communication between compliance teams and other internal stakeholders
• Collaborate with relevant teams to remediate gaps and deficiencies identified during regulatory gap assessments or audits
• Communicate compliance program results, including assessment status, workflow, remediation, and reporting, to a broad audience including peers, seniors, and leaders
• Lead PCI DSS compliance efforts, ensuring that all relevant systems and processes meet or exceed the required standards
• Collaborate with cross-functional teams to identify, implement, and monitor controls to maintain PCI DSS compliance

Requirements:

• A bachelor’s degree and 5+ years’ experience in a IT Compliance position
• Experience conducting PCI-DSS assessments
• Ability to conduct internal regulatory audit readiness assessments
• Familiarity with regulatory frameworks and guidelines issued by SEC and ESMA
• Strong interpersonal skills to interact with compliance personnel, senior leadership, and other team members
• Excellent oral and written communication skills
• Strong organizational skills to prioritize work and balance multiple projects
• Ability to work independently and as part of a broader team

Nice To Have:

• Experience working in a legal or regulatory compliance role

 

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.

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.

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.

Job Details:

• 6 Months Contract (Extendable)
• Location: Changi Business Park
• Salary: $4000 - $4500 (if 4500 then no project completion bonus)

Responsibilities:

• Apply knowledge to complete tasks related to Anti-Money Laundering (AML) such as Know Your Client (KYC) and Transaction monitoring related tasks

• Aid in inquiries related to local and global negative lists

• Support the team in administrative related tasks such as updating of internal trackers, creation of manual cases, working on requests coming from law enforcement agencies or regulator etc.

• Participate in AML training offered through the business

• Ensure compliance and observance of all internal rules, regulations, instructions, and other bank standard acts by Unit employees

Qualifications:

• Relevant experience required

• Working knowledge of AML regulations and experience preferred

• Proficient computer skills with a focus on Microsoft Office applications

• Consistently demonstrates clear and concise written and verbal communication

• Bachelor’s Degree/University degree or equivalent experience

Only shortlisted candidates will be notified
Send your resume to:
Email: charlotte.ong@justrecruit.com.sg
WhatsApp: 9833 5766

ONG HUI XIN R23114158
Just Recruit Singapore Pte Ltd EA12C6295

The Role:
My Client is a global hedge fund and we are looking for a Compliance and Finance Analyst for the Singapore office. We are looking for candidates who are keen to take on a well-rounded role across the Middle Office and Finance space. This is also a high visibility role, with exposure to the C levels in the business.

Responsibilities:

• To conduct KYC and CDD related checks on new and existing clients
• Supporting legal and compliance matters such as reviewing compliance policies & procedures and simple legal documentation.
• Timely review and filing of any financial and regulatory reports and surveys
• Support day-to-day compliance and finance related work
• Support fund and manager corporate secretarial matters

Requirements:

• A Bachelors’ degree in a relevant field
• At least 5 years of experience in a Middle Office / Compliance / Finance function
• Prior experience in Financial Services – Funds / Fund Admin / Banks etc
• A careful and diligent person who has good attention to detail and a process-oriented mindset
• Self starter and independent worker but a team player
• Strong communication skills to liaise with various stakeholders

Take charge of this opportunity to welcome a new career challenge in 2024.

EA Personnel No R1985201
BeathChapman Pte Ltd
Licence No 16S8112

Location: Napier

5.5 work day, Monday to Friday Office hour + half sat

Salary: $3.2k to $3.5k

Job Description:

• To provide guidance to warehouse personnel, oversee stock level, purchase orders, schedule agreements, expedite delivery of goods.
• Assist in goods release in batches for distribution or usage
• Oversee quality checks for incoming stocks and ensure quality compliance
• Liaise with laboratory on product non-conformance issue for feedback to supplier
• Conduct returned goods and assist in end-to-end disposition of non-conforming goods
• Schedule and review preventive maintenance for critical equipment
• Provide quality oversight to quality activities in laboratory operations including documentation and validation testing
• Schedule and review Installation, operational and performance qualification.
• Assist and support in regulatory inspections and audits
• Perform audit check on laboratory operations
• Maintain, and biennial review SOP and forms
• Review and approve change control plan
• Review Training and competency adequateness
• Review Corrective and preventive action adequateness
• Non-Conformance and Error trending analysis

Requirements:

- Min Diploma/Degree in Biological Sciences

If interested, please email your resume to alexgoh@recruitexpress.com.sg

➖

Alex Goh Hock Leong

(CEI.No: R1763413 l Recruit Express Pte Ltd (Healthcare & Life Science) | 99C4599)

Responsibilities:

• Ensure business operations are following applicable laws and corporate guidelines.
• Conduct investigation and due diligence check on company practices.
• Ensure company practices are adhere to relevant standards.
• Identify, address and resolve business operational issues arise
• Provide business compliance support to sales department and work cross functionally to ensure compliance.
• Stay up to date with trends & latest practices and inform stakeholders and management.
• Oversee the company's business and sales operations.
• Generate data analysis reports for managers to aid in strategic decision-making.
• Implement the risk audit team's recommendations.
• Enhance and include pertinent business conduct and rules initiatives.
• Provide training programmes based on the company's rules of conduct and values.
• Provide guidelines and ensure internal and external stakeholders are following the company's conduct, policies, guidelines, and ethical standards.
• Create and implement procedures for tracking and evaluating adherence.
• Ad hoc duties assigned.

Requirements:

• Bachelor in Business Administration, Finance, Risk Management, Audit or equivalent.
• At least 3 - 5 years of business compliance with data analysis skills.
• Able to work independently will be an added advantage.

Interested candidates who wish to apply for the advertised position, please send in your resume to gs1@talenttradersg.com.

EA License No: 13C6305

Reg. No.: R1654399

For candidate who applied for the advertised position is deemed to have consented to us that we may collect, use or disclose your personal information for purpose in connection with the services provided by us.

Tuas

1yr contract

12 hour rotating day/night shifts

$4000-4500

Site allowance $500

Shift allowance $350

Day shift $21

Night shift $55

Major Responsibilities:

• Responsible for housekeeping duties in the lab.

• Responsible for the timely completion of chemical testing of raw material, intermediates, in-process

• control samples and final API and data verification.

• Ensure that all test equipment is used and maintained correctly.

• Perform any method transfer or method qualification reports or equipment qualifications and support the

• transfer of new products.

• Maintain up-to-date, complete and precise records of all tests performed.

• Adhere to cGMP and GLP requirements and apply 6S concept.

• Assist in the resolution of quality problems as required.

• Developing and changing of in-house laboratory procedures as appropriate.

• Train new analyst.

• Support Audit preparation and any audit related activity

• Adheres to and supports all EHS & E standards, procedures and policies

• Any other general administrative duties/ad-hoc projects as assigned by immediate supervisor.

Interested candidates, do submit your resume to: jocelynchan@recruitexpress.com.sg
Telegram me at @jocelynchan

Jocelyn Chan Recruit Express Pte Ltd (Healthcare & Lifescience) Company EA Licence number : 99C4599 Personnel EA License: R1331820 jocelynchan@recruitexpress.com.sg

About this Position

We are looking for Compliance Analyst to join our Compliance department.

Responsibilities and Qualifications

Responsibilities:

• Perform ongoing Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) activities, including politically exposed person reviews and reporting, sanctions screening and regulatory reporting, and other reviews and assessments of compliance for all Primerica Canada entities subject to AML/ATF requirements
• Create and maintain procedures related to the AML/ATF activities performed
• Work with Primerica’ business areas to facilitate the implementation of new and updated AML/ATF procedures and processes
• Facilitate performance of legislative compliance management (Ethidex) processes, including proactively identifying opportunities for process improvements and managing the Ethidex system service provider relationship
• Maintain the inventory of compliance requirements in the Ethidex system and educate and inform the business units regarding requirements and changes
• Administer the annual Ethidex attestation process for the mutual fund dealer and the investment fund manager, including acting as a resource for the business areas, generating a range of reports, performing related research and managing remediation items to completion
• Prepare formal and informal compliance reports and other communications for the business units on a regular and ad hoc basis
• Organize and manage documentation for regulatory, internal audit and other reviews and examinations and assist with the arrangements for such examinations, audits and reviews
• Manage the Regulatory Compliance Department’s files and records and perform other administrative duties 
• Miscellaneous duties as may be required

Qualifications:

• Post secondary education or equivalent of knowledge and skills acquired through related work experience in the financial services industry
• Experience in legislative and corporate compliance management and AML/ATF requirements
• Knowledge of mutual funds and/or life insurance would be considered an asset
• Excellent communication, organizational and time management skills, with the ability to multi-task, prioritize workflow and meet deadlines in a high volume, fast-paced environment
• Demonstrated analytical and problem solving skills and attention to detail
• Strong cooperative and professional attitude
• A high-energy self-starter who shows initiative and good judgement
• Must be possess exemplary knowledge in MS Office (Word, Excel, PowerPoint, Access)and have the ability to quickly learn new technology
• Bilingualism would be considered an asset

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.

Join Our Team

In 2022, the Atlanta Journal-Constitution named Primerica one of the best places to work for the ninth consecutive year. Also in 2022, Primerica was named one of the Best Employers for Diversity by Forbes for the second consecutive year. Forbes also named Primerica as one of America’s best Insurance companies for 2022. Primerica ranks 6th among 25 companies included in the Term Life Insurance category. Over the past seven years Primerica has consistently been voted Best Employer by Gwinnett Magazine in its special "Best of Gwinnett" winner editions. Primerica is a great place to work! Join our team to experience what it’s like to work at “one of the best places to work in the metro Atlanta”.

About this Position

The Securities Quality of Business Analyst 1 obtains corrections for incoming new business applications including outside funds, 529 plans, qualified plans, variable annuities, platform accounts, unlicensed sales, and Lifetime managed accounts. The role will communicate with our field force via telephone, e-mail and/or fax. Applications that cannot be processed will be returned to the writing Representative. Outgoing mail is tracked to ensure proper delivery. The incumbent will also perform quality control check on processed work as well as daily reconciliation to ensure all trades have been processed within department standards.

This is a hybrid position that requires working onsite in the Duluth, Georgia office and remotely multiple days each week.

The estimated salary range for this position is $40K - $50K

Responsibilities & Qualifications

KNOWLEDGE, SKILLS AND ABILITIES:

• Minimum high school diploma or GED
• Knowledge of company policies and procedures
• Familiarity with mainframe and BNY Mellon systems
• Ability to identify problems and formulate solutions to problems
• Excellent organizational skills
• Excellent written and verbal communication skills
• Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet strict deadlines
• Ability to work overtime if needed
• Understanding of company workflow and overall system processing
• Fundamental understanding of industry regulations
• Fundamental understanding of Sales Force
• Ability and willingness to learn new skills related to the successful achievement of departmental goals include but not limited to software applications necessary for the successful continuation of surveillance functions

FLSA status:
This position is exempt (not eligible for overtime pay):

No

Our Benefits:

• Day one health, dental, and vision insurance

• 401(k) Plan with competitive employer match

• Vacation, sick, holiday and volunteer time off

• Life and disability insurance

• Flexible Spending Account & Health Savings Account

• Professional development

• Tuition reimbursement

• Company-sponsored social and philanthropy events

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.

Job Title

Senior QA Analyst, 1

Job Description

About Your Role:

Dotdash Meredith is looking for a Senior QA Analyst, 1 to partner with the development teams responsible for the core web framework that powers the websites for one of the largest and fastest-growing online publishers. The ideal candidate understands methods and quantitative techniques for developing and deploying Web applications. The ideal candidate is capable of critiquing functional requirements and design choices and their impact on how applications behave in the production environment to millions of users. She or he will be able to work with the QA managers in modifying STLC processes and maintain high-quality work products while accelerating delivery.

You’ll participate in and help fine tune a delivery focused development culture that champions collaboration, innovative thinking, and technical excellence, while maintaining a foundation of work/life balance.

About Your Contributions:

• This position requires a highly competent, self-directed individual who can help shape processes and define testing standards. We are looking for someone with experience in navigating variety of technical environments.

• The ideal candidate will be able to work efficiently on their own as well as contribute to group projects and complete tasks on schedule in a fast paced, upbeat environment.

• Potential candidates should have extensive experience testing functionality, compatibility, integration of web applications.

• Create, maintain and write test scripts/scenarios to facilitate delivery.

• Strong knowledge on developer tools like Chrome Dev/Firebug.

• Strong knowledge on deployment practices into Production environments and Jenkins pipelines.

• Knowledge on HTML5 and CSS and modern web development technologies.

• You understand the importance of not only testing but also reporting, especially in the context of CI/CD tooling. You have experience with source code systems like Bitbucket or equivalent.

• Participate in daily cross-functional SCRUMs for projects running concurrently.

• Produce status reports, prioritize bugs, and contribute to Sprint planning sessions.

• Familiarity on how web applications are deployed in the context of cloud environments and container-based technologies like docker.

About You:

• 5+ years of experience in testing complex head less applications and web applications.

• Strong analytical skills as well as knowledge of multiple testing methodologies, techniques and approaches with ability to analyze code when necessary.

• Familiarity with software configuration management, release management and database manipulation.

• Strong knowledge on bug tracking tools like JIRA or similar.

• Highly proficient in English with excellent oral and written communication skills.

• Capable of balancing mixed-schedule releases across multiple environments.

• Ability to deliver and manage deadlines in an agile development environment.

• Bachelor's degree in Computer Science (or similar).

• Execute automated test scripts to build efficiency in testing.

• Develop, document and maintain functional test cases and other test artifacts like the test data, data validation, harness scripts and automated scripts.

It is the policy of Dotdash Meredith to provide equal employment opportunity (EEO) to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, sexual orientation, gender identity and/or expression, genetic information, marital status, status with regard to public assistance, veteran status, or any other characteristic protected by federal, state or local law. In addition, the Company will provide reasonable accommodations for qualified individuals with disabilities. Accommodation requests can be made by emailing ddm.hr@dotdashmdp.com.

The Company participates in the federal E-Verify program to confirm the identity and employment authorization of all newly hired employees. For further information about the E-Verify program, please click here: https://www.e-verify.gov/employees

Pay Range

Salary: $66,500 - $95,000

The pay range above represents the anticipated low and high end of the pay range for this position and may change in the future. Actual pay may vary and may be above or below the range based on various factors including but not limited to work location, experience, and performance. The range listed is just one component of Dotdash Meredith’s total compensation package for employees. Other compensation may include annual bonuses, and short- and long-term incentives. In addition, Dotdash Meredith provides to employees (and their eligible family members) a variety of benefits, including medical, dental, vision, prescription drug coverage, unlimited paid time off (PTO), adoption or surrogate assistance, donation matching, tuition reimbursement, basic life insurance, basic accidental death & dismemberment, supplemental life insurance, supplemental accident insurance, commuter benefits, short term and long term disability, health savings and flexible spending accounts, family care benefits, a generous 401K savings plan with a company match program, 10-12 paid holidays annually, and generous paid parental leave (birthing and non-birthing parents), all of which may vary depending on the specific nature of your employment with Dotdash Meredith and your work location. We also offer voluntary benefits such as pet insurance, accident, critical and hospital indemnity health insurance coverage, life and disability insurance.

#NMG#

Leidos' Corporate Government Compliance team has an immediate career opportunity for an Analyst. The ideal candidate will be an individual contributor who is technologically savvy and adept at data mining, research, and analysis. An ideal candidate will have familiarity with FAR Part 31 as well as Cost Accounting Standard (CAS) 405. 

The candidate may support Defense Contract Audit Agency (DCAA) audits, Defense Contract Management Agency (DCMA) cost monitoring and audits as required.  Exceptional attention to detail, problem solving skills, persistence, and communication are required. This is a rare opportunity to gain exposure to multiple functional areas and in-depth insights into corporate financial structure and regulatory matters. The selected candidate will play a critical role in supporting Federal Acquisition Regulations (FAR) and Cost Accounting Standards (CAS) compliance. 
 

Primary Responsibilities:

• Review and submit audit determinations, with an emphasis in unallowable costs (FAR Part 31)
• Work cross functionally to communicate audit findings professionally and timely to transaction owners
• Maintain a high level of organization 
• Examine and analyze expense transactions (P-card transactions, expense reports, consultants, airfare, etc) to evaluate compliance with Leidos policy, FAR and/or CAS
• Gather documentation, develop and execute financial queries, and analyze data in response to DCMA/DCAA inquiries and self-audits; resolve discrepancies as they arise
• Clearly and accurately document the execution of specific audit findings
• Ability to independently research and resolve discrepancies as they arise
• Depending on needs of the team, support the Service Center Monthly Variance Report and planning processes
• Other duties, as assigned

Required Qualifications:

• Bachelor’s degree in Accounting, Finance, Business Administration or related major is required, coupled with 2-4 years of related experience.
• Intermediate Microsoft Excel skills, including, at a minimum, pivots, vlookups, sumif, and concatenate functions
• Working knowledge of GAAP, FAR, DFARS and CAS
• Working knowledge of Government Contracting
• Able to work as part of a team and effectively interact with colleagues and Company employees across all functions and levels
• Adept at reviewing supporting documentation to make an independent assessment of compliance
• Able to handle multiple tasks concurrently and successfully to completion to deliver them on time
• Well-developed analytical and research abilities
• Strong and effective communication and organizational skills
• Detail oriented with strong documentation skills
• Self-starter with ability to excel in fast-paced environment

Preferred Qualifications:

• Historical knowledge of Leidos systems, policies and procedures
• PowerBI and dashboard development experience

Please note the actual salary will be closer to the midpoint of the pay range.

Original Posting Date:

2024-03-19

While subject to change based on business needs, Leidos reasonably anticipates that this job requisition will remain open for at least 3 days with an anticipated close date of no earlier than 3 days after the original posting date as listed above.

Pay Range:

Pay Range $49,400.00 - $89,300.00

The Leidos pay range for this job level is a general guideline only and not a guarantee of compensation or salary. Additional factors considered in extending an offer include (but are not limited to) responsibilities of the job, education, experience, knowledge, skills, and abilities, as well as internal equity, alignment with market data, applicable bargaining agreement (if any), or other law.

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!

Job Description

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:

• Good written and verbal communication skill
• Good interpersonal and strong analytical skills
• Strong attention to detail
• Shall be a team player
• Shall be open to work flexible hours
• Proficiency on MS Office suite of applications
• Self-motivated, go getter
• Familiarity with trading systems and compliance components such as Charles River or Aladdin will be given preference

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

Full Time / Part Time

Full time

Worker Type

Employee

Job Exempt (Yes / No)

No

Workplace Model

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: 

• Competitive Compensation 
• Flexible, Hybrid Work 
• 30 days’ Annual Leave + Public Holidays 
• Life Insurance 
• Retirement Planning 
• Group Personal Accident Insurance 
• Medical Insurance for Employee and Family 
• Annual Health Check-up 
• 26 weeks Maternity Leave 
• Paternal Leave 
• Adoption Leave 
• Near site Childcare Facility 
• Employee Assistance Program 
• Study Support 
• Employee Stock Purchase Plan 
• ESG Commitments and Goals 
• Business Resource Groups 
• Career Development Programs 
• Mentoring Programs 
• Invesco Cares 
• Dress for your Day 

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/ 

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:

• First line supervisory responsibility to conduct due diligence review on prospective representatives of LPL Financial.
• Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors.
• First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
• Review “day one” marketing materials (letterhead, business cards etc.…) for new offices to LPL
• Interact with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as coordination of special projects and investigations.
• Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives.
• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews.
• Perform other duties and complete ad hoc projects as assigned.

Requirements:

• Licenses/Certifications Required: FINRA Series 7, Series 24, Series 63 (or 66)
• Undergraduate degree in Business, Accounting, Finance or related discipline preferred.
• Minimum of 3-5 years industry experience
• Experience with Adobe, all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus

Other Job Duties:

• Ability to work in a fast paced/high volume environment and be flexible with work schedule.
• Knowledge of FINRA SEC, and State rules and regulations
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.
• Excellent oral and written communication skills
• Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role.
• Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential.

 

Pay Range:

$62,200-$93,300/year

 

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!

 

Why LPL? 

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.