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Compliance & Risk Support Manager recruitment
Our client requires a Compliance/Risk Manager with a detailed knowledge of regulations affecting Dealing and Sales Trading within Wealth Management and Banking.Purpose of roleThe company is seeking an experienced control professional to join its Control Governance team, specialising in Dealing and Sales Trading (“DST”). Working directly for the Global Head of Governance Control, this person will assist with the day to day execution of our assurance framework, focusing on the following functions• Analysis of areas of risk, plus design and implementation of a monitoring framework to mitigate Read more […]
Compliance manager – English and French and/or Dutch recruitment
Company: Financial InstitutionPosition: Compliance ManagerLocation: BrusselsDuties:- To assess and monitor the impact of regulatory developments in Belgium affecting the Bank in Brussels, and to inform management and relevant business lines of such developments- To ensure that relevant compliance processes and procedures are maintained and adapted in line with changing regulatory developments- To provide compliance advisory services to our Brussels based staff for any Compliance related issues- To monitor the application of relevant regulations by the business, and to report compliance concerns Read more […]
AML Compliance Manager – Corporate Banking recruitment
This is a newly created position with a reputable investment bank. Our client is looking for an experienced AML expert to look after their corporate banking business.The RoleReporting to the Head of Compliance, you will be fully responsible for:• Performing compliance checks on new accounts and periodic reviews in accordance to the AML/KYC policies• Ensuring compliance of regulatory requirements and group’s compliance standards• Ensuring all rules, regulations and guidelines are updated according to the current banking practices• Reviewing and monitoring of internal procedures and Read more […]
Compliance Manager recruitment
ResponsibilitiesTo assist the Head of Compliance in providing a response to any request for information made by the regulator.To identify and report on risks or potential conflicts of interest arising from new products, strategies or processes at PAM SA.To ensure that all errors and breaches identified are promptly reported and that appropriate corrective actions are taken.To improve implementation of Compliance monitoring procedures and processes for the investment teams (including PAM Operations linked to such activities) in compliance with SEC and FINMA standards.To carry out the daily monitoring Read more […]
VP of ALM Compliance recruitment
My Client is a leading investment bank.The compliance surveillance strategy group in the Compliance division is responsible for coordinating enterprise-wide Anti-Money Laundering/Bank Secrecy Act compliance effort and provides AML-related services to subsidiaries worldwide.These services include: developing and implementing policies and procedures; performing customer due diligence and enhanced due diligence; screening against OFAC and other government sanctions lists; conducting automated and manual transaction monitoring, investigating potential violations of law, regulation or firm policy by Read more […]
COMPLIANCE OFFICERS – ENERGY TRADING – BERKSHIRE recruitment
Location: BERKSHIREIts vision is to be the leading player in its chosen markets, supported by a strategy designed to deliver sustainable value for its shareholders, ensuring it is well positioned for further growth.The trading arm is an important part of its business operations and is charged with maximising profit from trading gas, power and related commodities. THE ROLES: The business is regulated by the FSA and as the organisation grows, the regulatory environment it operates within is becoming ever more complex. Consequently, it seeks to appoint a small number of experienced, high Read more […]
Debt Capital Markets Compliance – Vice President recruitment
1. Job Objective:To co-ordinate and assist the Firm as a whole in compliance with UK legislation including FSA rules and regulations and applicable EU and overseas legal and regulatory requirements.2. Job Dimensions:The Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure staff.The Department provides general transactional guidance and advice to Business Units and other staff, implements compliance Read more […]
Compliance/Risk Manager recruitment
We are fast growing Fund Management Group headquartered in Singapore with offices in China. Due to our expansion needs, we are looking for an experienced Compliance/Risk Manager to join our team in Singapore.Role:Overseeing the Compliance/Risk Management activities of the GroupSupport the Group’s compliance with all relevant laws and rules and take charge of development and promulgation of relevant policies and proceduresResponsible for AML/KYC related mattersAssisting in the development and education of the Group’s employees for Compliance/Risk mattersPromoting effective and positive relationships Read more […]
Compliance Officer, Asset Management recruitment
Reporting to a Senior Compliance Manager, the successful candidate will be responsible for: Assisting with upholding the regulatory compliance requirement Assisting with the design and implementation of compliance policies Assisting with the review of marketing materials to ensure that regulations are adhered to Liaise with departments such as Marketing (to ensure licensing and regulatory requirements are adhered to) and Legal (when setting up licenses) Assist with AML related matters Training new staff on compliance policies, ethics and AML Keeping abreast of regulatory developments and to provide Read more […]
Graduate, Fund Compliance Administrator recruitment
Northern Trust is one of the world’s leading providers of asset servicing, asset management and wealth management services. With a history of strength and stability, today we are a global leader in combing exceptional service and expertise with innovative products and technology. As of June 30, 2012 Northern Trust had $100 billion in banking assets, $4.6 trillion in assets under custody and $704.3 billion in assets under management worldwide.In Luxembourg we are a boutique business offering comprehensive asset servicing capabilities. Through our unique positioning we have seen significant business Read more […]