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Compliance Specialist @ Private Banking
Job Scope;Start up the compliance platform for bank’s Wealth Management desk.Provide the desk with compliance internal rules.Update team members with regulator’s rules and regulations.Train internal clients with compliance matters.Provide legal and compliance advisory services to internal clients.Liaise with external auditors, internal auditors, authorities and HQ.Report to Legal Manager and front office desk head.Other ad-hocsThe successful candidate is required to;have more than 5 years of working experience in the very same area.have local (Singapore) exposure.be well versed with the local Read more […]
UK Head of Compliance
Provide advice and counsel to UK CEO and Senior ManagementPrimary contact for the FSA and other Regulatory bodies. Maintaining an effective and open relationship with Regulators. Managing all regulatory inquiries and reviewsProviding advice and direction on both internal and external conduct of business rules and practices and how the rules of the regulatory body affect the day to day operations of each department.Interpretation of the provisions of the Financial Service and Markets Act and FSA Rules and providing support to the UK business on these. Interpretation of additional laws, regulations Read more […]
Compliance Analyst Programmer
AIG Corporate has an opportunity for a Compliance Analyst Programmer in New York. You will be responsible for assisting the Senior Compliance Officer, Risk Management and Reporting in supporting all ongoing activities related to the development, implementation and maintenance of databases and reporting for AIG’s corporate compliance risk management program. This would include preparation of monthly, quarterly and/or ad hoc reports for senior management, as well as developing reporting on key information relating to ongoing risk assessments and mitigation controls, monitoring and testing, training, Read more […]
Compliance Team Lead (Client Review)
Large Private BankCareer growth opportunitiesLeadership roleAs the Team leader of the Client review team your main responsibilities will be to Coordinate and manage compliance reviews of existing relationships. Reporting into the Senior manager and leader a tight knit team you will have to ensure that all work done is as per internal policy requirements and regulatory requirements this is including but not limited to AML/CFT and client suitability requirements. You will also be tasked to conduct quality periodic reviews of KYC and CDD information of existing relationships and consolidate review Read more […]
VP, Compliance
You will document and report findings and advise on remedial measures to facilitate effective corrective actions, where unusual activities or deficiencies in compliance with regulations, procedures or best practices have been identified. You will prepare reports to management/ stakeholders regarding the status of recommendations, made as a result of monitoring review findings. You will identify new and emerging risks from business and regulatory developments and assess their impact on the monitoring program. You will be involved in implementation projects i.e. implementation of surveillance Read more […]
Interim Head Of Compliance Monitoring
The role will involve conducting focussed compliance monitoring ensuring the business is complying with regulation and best practice is met throughout the business. The candidate will be a seasoned compliance professional with a proven career in hands on oversight and assurance able to successfully administer a risk based compliance monitoring programme. The role will also involve Operational Risk ensuring the controls and risk management within the business is met, mitigated and reported. The candidate will also monitor and report on Training competence so previous experience in this area Read more […]
JUNIOR COMPLIANCE ASSOCIATE
Junior Compliance Associate Hedge Fund Manager A well-known, well-established Hedge Fund/Registered Investment Adviser located in midtown NYC with approximately $3B AUM is seeking a Junior Compliance Associate to assist the Firm’s Chief Compliance Officer, General Counsel and several other people within the Company’s compliance area. This is a junior role meant for a recent college graduate with excellent academic credentials who has attended a highly rated and well regarded college or university. Compliance experience would be a very big plus and would help to being successful in this role Read more […]
Compliance Monitoring Executive
Candidates will need to have worked in Investment Management, Asset Management or Private Banking previouslyCandidates will need to have significant prior experience of Compliance Monitoring within Investment or Asset ManagementThe client are looking to recruit an individual who keeps up to date with regulatory changes and has an enthusiasm for regulatory complianceThe client is looking to move quickly and can arrange interviews at short notice.The right candidate will need to be comfortable facing off with brokers/traders, the legal team other departments on regulatory matters Required Experience3-5 Read more […]
Compliance Desk Review
Candidates should have at least 3 years prior experience working in Compliance in Banking, ideally in Investment BankingCandidates should have prior experience performing desk reviewsCandidates should ideally come from an audit or accountancy background, or have some prior audit experience Beneficial Skills/QualificationsDiploma or certificate in Compliance from ICA or equivalentACA, ACCA or similar accountancy certifications For more information or to apply for this role, please contact Jasemin at jasemin.akcay@jcwresourcing.com or call on 0203 589 9276 Read more […]
Chief Compliance Officer
The CCO will oversee the managed accounts, wrap products, investments and asset allocations. The ideal candidate will support the following: advising on monitoring of Investment Advisor Representatives (IRA), new products, and due diligence of third party providers, financial planning, trading and preparing compliance reports on these activities. The CCO will also be responsible for assisting IRA with training on compliance related issues and will accompany personnel on IAR visits as necessary. The individual will be responsible for updating and filing ADV parts 1 and 2 and assisting in developing Read more […]