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COMPLIANCE ADVISORY CONSULTANT
Description:Our client, a leading financial services provider in Edinburgh has an exciting new opportunity for a Compliance Advisory Consultant to join their team on a permanent basis. The role will provide business areas with effective compliance oversight, guidance and support to ensuring appropriate challenge to the business and outsourced entities in respect of regulatory risk and compliance with designated regulation and/or legislation.Core Responsibilities:Provide effective 2nd line oversight and proactive support to key regulatory areas, aligned to the regulatory risk universe, such as relevant Read more […]
COMPLIANCE CONSULTANT
Description:An exciting new opportunity has become available within a highly successful finance company to work within their Compliance function. Within this role you will be expected to provide effective Compliance oversight, guidance and support to business areas, ensuring appropriate challenge in respect of regulatory risk and compliance with financial services regulation.Core Responsibilities:Provide effective 2nd line oversight and proactive support to business areas so that the risk of non compliance is mitigatedPromote a greater understanding of current FCA/PRA requirements and company compliance Read more […]
VP, Compliance Audit
• Major Global Bank • New Role • Excellent Career Prospects Our client is an established and well-respected global bank with significant presence across Asia Pacific. The bank has a great reputation for encouraging professional development, internal mobility as well as a culture which promotes creativity and innovation. This is a key role within the Asia internal audit team where you will lead and participate in audits across corporate and investment banking businesses and related infrastructure functions with a focus on regulatory compliance. You will assess the regulatory control environment Read more […]
COMPLIANCE MANAGER
CIMB Securities is looking to enhance its compliance function as it continues to build its business across Asia. CIMB Securities in Hong Kong has an equities broking business as well as an investment banking business focused on advisory and capital markets.Key Responsibilities:Assist with regulatory liaison, including meeting with the regulators, responding to regulators’ requests and inspections;Provide compliance guidance and advise management and frontline staff on any compliance issues including advise on any regulatory or reputation risk in respect of new engagements/clients;Act as the Anti-Money Read more […]
Compliance Monitoring Manager / Investment Banking
Our client, a global financial institution is looking for a Senior Compliance Monitoring Manager to join their compliance team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business and help promote a proactive regulatory culture.Duties Include:· Regularly assess the adequacy and effectiveness of policies and procedures in place to monitor the business.· Review work undertaken by the risk assessment process to ensure that it is line with the firm’s business Read more […]
Head of Compliance, Corporate Banking (open budget)
The CompanyA Chinese based corporate bank, setting up their first overseas branch in HK, currently looking for a Head of Compliance, to lead a small team of compliance professionals. The RoleAs part of their growing business, you will be reporting to the COO in HK, responsible for setting up their compliance function from stretch. This person will be responsible for preparing the bank’s compliance manual, policies and procedures, implementation of compliance framework according to HK regulations (HKMA), as well as be the person in charged of all compliance related duties. Your ProfileThe successful Read more […]
Head of Compliance
Job Function SummaryThe successful candidate will have a significant regulatory background in the European markets.The candidate will have a strong grasp of rules and regulations, and compliance processes and systemsKey ResponsibilitiesOversee compliance for EuropeFormulate local policies and procedures, and coordinate global compliance initiatives.Responsible for overseeing local regulatory filings and interaction with regulators.Advise senior management on regulatory changes across EuropeManage compliance staff in LondonSignificant interaction with all facets of the firm’s trading and back-office Read more […]
AVP, Anti-Money Laundering Compliance Analyst
• Compliance with policies, procedures and US regulations for the Correspondent Banking and Corporate Banking line of business in relation to AML surveillance. • The Bank meets its statutory obligations for reporting suspicious activity. • This will involve investigation of suspicious activity from alerts generated by surveillance systems with SAR reporting as appropriate. RESPONSIBILITIES • Conduct initial analysis and assessment of alerts generated from Mantas using internal/external research tools. • Accurately document rationale for case closure or escalation as appropriate. • Read more […]
VP, Anti-Money Laundering Compliance, Transaction Monitoring
The Anti-Money Laundering Analyst will assist in investigation of electronic funds transfers and other types of monetary instruments for money laundering, terrorist financing and/or other illegal activities; write suspicious activity reports for filing to the United States Department of the Treasury Financial Crimes Enforcement Network; and execute deep-dive reviews of transaction activity conducted through foreign correspondent bank accounts designated as high risk. Qualifications ? BS/BA required. ? Experience in transaction monitoring, preferably for a correspondent bank; experience in transaction Read more […]
Investment Compliance
They seek an experienced Investment Compliance professional to support Portfolio Managers and the Investment Compliance Manager across a range of products – predominantly Equity and Fixed Income with the implementation of guideline information for new accounts.Key requirements:Strong academics, bachelors degree minimumSolid background at a well established buy side firmPre/post trade compliance monitoring experienceA critical role within a successful and growing organization. They have a sterling reputation within the industry and promote professional qualifications and development.Mason Blake Read more […]