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Digital risk / compliance (Banking)
Digital banking / onlin banking / compliance / operational risk My client is a leading UK retail bank. As part of their overall digital strategy they require someone with a background in digital who can assist with the oversight of potential risks, both operational and regulatory. Whilst training and guidance can be offered on the speicifcs of regulation a knowledg eof digital and the technical risk associated is essential. The team provides second line compliance oversight to UK Retail projects, product development and sales process, identifying conduct risk and challenging standards at each stage Read more […]
Compliance Officer
UBS operates one of the leading global equity businesses with its European operations focused in London. The business encompasses domestic and international equity and equity-related sales, trading and research and exchange traded and OTC derivatives. The Role A position has arisen for an experienced Compliance Officer to work within the EMEA Equities Compliance team. The role, which will be based in a trading environment, involves the provision of advisory, education and monitoring services to European Equities, which spans cash sales and trading, exchange traded derivatives, prime brokerage, Read more […]
Compliance & AML Officer
Compliance Anti-Money Laundering Officer Reports to: General Manager CFO / CCO Job purpose: • Communicate proactively and effectively with the regulators. • Lead, manage and influence the branch on internal and external compliance obligations. • Develop, recommend and implement appropriate systems policies and procedures to ensure compliance with relevant laws, prudential standards, rules and guidelines and codes of practice. • Direct reports: none Key tasks • Implement the Branch’s AML/ATF program as detailed by the CCO, ensuring full compliance at all times with all Legislative Read more […]
Compliance Assistants needed at JPMorgan in Bournemouth
Are you a looking for your next role in Banking and would like to move into a role that encompasses Anti-Money Laundering and sanctions checking within Banking? If so, JPMorgan in Bournemouth is searching for a number of individuals to join their Compliance division for a 6 month contract initially. The Enterprise Financial Crimes team is responsible for Anti Money Laundering (AML) monitoring and sanctions screening for all EMEA booked activity across the Corporate Investment Bank (CIB) businesses and to provide KYC Compliance support to the heritage TSS business. The team’s role is part of Read more […]
Senior Compliance Officer required by global asset management firm
This will be a broad and varied compliance role, reporting directly to the Head of Compliance. The successful candidate will operate in an autonomous manner and will be focused on all day to day compliance matters.Responsibilities:• Take responsibility for the compliance environment, specifically looking at MIFID issues that arise from long only investment management. There will also be a need to look at the international distribution of investment products investment management of funds of hedge funds.• Comply with local regulations by ensuring Read more […]
Compliance Manager, Multiple Openings
ResponsibilitiesAssist Regional Money Laundaring Officer in the implementation of a compliance project to enhance global Client Due Diligence standard for banking clients to prevent individuals and entities from using its facilities bank accounts for the purposes of financial crimeEnhance client on-boarding and implement a global utility with technologyImplement a new global standard, with supporting KYC/AML templates and guidanceLiaise with relevant stakeholders, including customer groups, in relation to TOPAZ mattersRequirementsProven experience in a financial services group operation, with Read more […]
VP, Compliance
This leading investment bank has a new opening for a Senior Compliance Manager to join in the Compliance – Securities division team to provide compliance assistance to the Equities and FICC team!Job DescriptionIn the role you will:Provide daily trade surveillance report and conduct transaction monitoring reviewsRevising and testing the integrity of system controls by participating in testing programs and evaluating test results; and advise on policies to comply with the Hong Kong or other Asian regulatory standards to minimize potential risksWork closely and provide compliance advisory to the compliance Read more […]
VP, Wealth Management Compliance
Our client has a leading presence internationally and is one of the top leaders within investment banking industry in Hong Kong. Due to sustained growth and expansion plans, they are currently looking for a Senior Vice President to supervise a team of compliance staffs in the Private Banking division.RESPONSIBILITIESReview and comment on a wide range of policies and procedures and new product proposal to ensure these are all compliance with HKMA and SFC’s requirementsPerformed compliance review and as well as monitor staff dealingsDesign, develop and implement relevant compliance policies and procedures Read more […]
Senior Compliance
Key ResponsibilitiesPrincipally responsible for the receipt and initial assessment of all applications for approved persons.The newly created team will also have responsibility for the processing of other approved persons and appointed representative notifications (e.g. withdrawal notifications).Influence and then entrench the new Approved Persons/Registrations programme, with a view of increasing the emphasis on individual accountabilities;Responsibility for owning and managing the Approved Persons processes from end-to-end, liaising with relevant Compliance / Business representatives Constructively Read more […]
VP, Compliance, Global Investment Bank
My client is an investment bank with a significant presence in Singapore. As a result of increased regulatory requirement, I am seeking to hire several new headcounts in the regional compliance team.The team will be responsible for compliance reviews across the IB and Corporate banking business in APAC. This team is a dedicated function within compliance focused on proactively assessing and reporting on areas of potential regulatory and reputational risks within the business.You will be involved in/responsible for validating compliance against established policies and developing recommendations Read more […]