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Business Analyst- Dodd Frank Compliance
Business Analyst- Dodd Frank Compliance An exciting opportunity has arisen in the asset management arm of a global financial institution for an experienced Business Analyst/ Subject Matter Expert within their regulatory reform programme. You will be responsible for ensuring the bank addresses its regulatory obligations, in relation to Dodd Frank. Key Responsibilities Maintain the assessment of the banks commercial vulnerability to the Volcker rule and readiness options.Develop compliance road maps across business groups.Roll out and support on-going client identification procedures.Oversight and Read more […]
Compliance Executive Director required by global market leading financial services firm based in London
The role has been created to represent the Compliance function in the UK office to assist the CCO in achieving the Compliance Work Program and promoting critical ethical standards to ensure the achievement of the objectives of all compliance programs across the client.Key responsibilities:• Monitor and report results of all compliance, ethics and supervisory related efforts of the client • Provide guidance to the client and their Board on matters relating to Compliance. This will include assessing compliance risks and implementing guidance on the implementation of compliance program, as Read more […]
Regulatory Bank Consumer Compliance Experts
Recruiting for Regulatory Consumer Compliance Guru’s (Manager to Managing Director Level) in the Financial Services Industry for a Top Notch Consulting Firm. Compensation and benefits are very competitive. The ideal candidate will currently be working for an organization in one of the following capacities: • In a medium to large bank in a consumer compliance capacity • In a Big 4 as a regulatory compliance advisory consultant or similar • In a consumer compliance consulting position for a reputable consulting company • For a bank/government regulator (Fed, FDIC, Office of the Comptroller Read more […]
AVP/VP Compliance Risk Review
Our client is a global Investment Bank and due to continued expansion plans across the APAC region they are looking for experienced AVP and VP level candidates to join the Compliance Risk Review division.Key responsibilities include:– Identification and monitoring of risks.- Providing solutions to the business and managing stakeholder expectations.- Ability to anticipate risk and complex issues arising within a variety of different business units.- Understanding of regional regulatory frameworks. You will have at least 5 years compliance experience from an Investment Bank based in the APAC region. Read more […]
Public Markets Compliance Associate/ Tier 1 Hedge Fund House/
Job Description:Advising the Hedge Fund managers to direct compliance issues through the appropriate channels for investigation and resolution.Developing, initiating, maintaining, and revising policies and procedures for the general operation of the compliance program and its related activities to ensure compliance with relevant laws and regulations.Researching and updating the department regarding the new regulations and assessing the business riskJob Requirements: University Degree2+ years of relevant experience in complianceFamiliar with Global regulatory requirementsIf you are interested in Read more […]
COMPLIANCE TESTING
Our client is a major global financial services provider engaged in investment banking, private banking and investment management services with an extensive international presence. To cope with their business expansion, they are seeking an experienced professional to join them.An integral member of the compliance team involved in the establishment and execution of the risk based compliance testing performed in the country level for the corporate and retail banking business. Support in establishing effective and optimal test plans. Identify all relevant risk indicators together with their inherent Read more […]
ASIA COMPLIANCE
Provide compliance oversight by providing compliance advice, review and monitoring of the relevant business areas. To implement and maintain an effective compliance risk management program, to monitor and mitigate relevant compliance exposures according to the applicable laws and regulations. Liaise with business units to develop operational processes to prevent, detect and monitor potential compliance violations and control weaknesses. Ensure timely resolution on corporate compliance policies, regulatory liaison reporting, investment compliance, product development, sales and marketing practices, 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 […]
Quality,Training & Compliance Manager
This role reports into Sales Director HNW DirectReason for the vacancy:In order to meet with the increasing demands both internally and externally, additional compliance support is needed. There is now a need for an additional compliance professional to react to ever-changing customer needs and keep pace with new developments in Personal Investing (PI).Current needs for the role.Monitoring:Strengthen the current monitoring of our PI customer facing teams in the performance of additional on-going reviews. Any monitoring taken on by this new head would be in addition to line manager monitoring.Reporting Read more […]
Compliance Associate
The firm has an outstanding reputation and beautiful offices in the heart of Mayfair. Reporting the the Head of Legal Compliance, you will have a wide range of responsibilities that stem from providing administrative support to advising the business on regulatory obligations in respect of major deals.Key responsibilities will include:*Compliance monitoring* Maintenance of all relevant documentation, filing and records keeping.* KYC and Client Onboarding* Provision of training for all new starters as well*Maintaining the Watch Lists, Gift Register* Personal Account Dealing* AML monitoring and Sanctions Read more […]