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Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Senior Manager-Retail Banking & Wealth Management (Recertification), Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Wealth Management Compliance Advisory
Role: Executive Director Wealth Management AdvisoryCompany: Leading Wealth Management firmSalary: Upto £125,000Location: City of LondonA leading wealth management firm is looking for an Executive Director in compliance advisory. The role is managing a team of 5 people and will be responsible for advisory.Responsibilities of the role include:Identification of compliance risks and the provision of solutions and methods to detect, prevent, mitigate, and or respond to such risks.Analyse and report on trends and regulatory developments to ensure Compliance services provided by the team remain Read more […]
Asset Wealth Management, Quantitative Analyst
This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international, and shaped by a variety of perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel. To better serve clients’ unique and evolving needs, Deutsche Bank has created a new business division that combines all of its asset and wealth management Read more […]
Business Analyst-Wealth Management
Essential Skills. 8-12 Years of business analysis skills. Extensive experience of Wealth/Asset Management domain.
Private Wealth Management – Account Manager
This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel. To better serve clients’ unique and evolving needs, Deutsche Bank has created a new business division that combines all of its asset and wealth Read more […]
Product Manager, Wealth Management/Investments
SMC396 – Senior Product Manager – Wealth Management/Investments Overview: Excellent opportunity to join a leading International Bank. Based in offices in London, the successful candidate will help to define the strategic direction of the product offering, build out new solutions and expand the market presence and footprint. Key Responsibilities Include: Providing co-ordination on various projects being undertaken across the business, to integrate and develop product set. Providing subject matter expertise on the direction of the market, particularly in the context of UK related regulatory Read more […]
Wealth Management Compliance Branch Examiner
Position Description Morgan Stanley is seeking a strong candidate for its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch locations. Candidate will be expected to:- Conduct retail branch office inspections. The process includes obtaining background information, a physical inspection of the branch, a review of various reports and other documents maintained at the branch, interviewing financial advisors, support staff and branch management.- Test, assess, document and report on the adequacy and effectiveness of the control Read more […]
Wealth Management Compliance Surveillance Analyst
Position Description The Wealth Management Regional Surveillance Analyst performs oversight of the Firm’s retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches’ actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA trending. Skills Required Bachelors Degree 1-3 years relevant work experience Possess a basic understanding of the financial services industry Strong interpersonal Read more […]