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GCC Compliance Officer, AVP
In this role, you MUST have GCC experience. You will be reporting to the Head of Regional Compliance, also based in Dubai. Your daily tasks will include, but will not be limited to: Working closely with the Head of Regional Compliance in developing and implementing compliance policies for the Middle East offices Handling all compliance and regulatory affairs, as well as keeping up-to-date with all changes in laws Assisting in establishing and maintaining anti-money laundering policies Providing training in regards to compliance and AML for staff The successful candidate should hold the following Read more […]
Compliance Officer, Junior ( DIFC )
This role is a brand new position, where you will be starting the compliance role from scratch. In this role, you will join a small but growing team and be the sole person in charge of all the compliance activities. NOTE: this is not a senior role. You will be the sole compliance person, however, as the office is small, the role will not include management or very senior responsibilities. The successful candidate should hold the following skills: Min. 2-3 years’ experience in compliance Ideally, experience in private banking Experience with DFSA regulations Fluent in English, Russian or French Read more […]
Compliance Analyst
This is an exciting opportunity for a Compliance Analyst to join a large, multi-national financial services institution based in the Sydney CBD Office.Reporting to a Senior Manager and working closely with a team of Compliance professionals, you will be responsible for managing and delivering on Compliance specific projects.Key functions of the role include:reviewing, updating and implementing compliance policies and proceduressupporting and training various business units on a wide range of compliance related issues including AML and KYC issues, legislative changes etcdriving enhancements to existing Read more […]
Compliance Training Officer
Compliance Training Officer – Investment BankA leading International bank in London is seeking a Compliance Training Officer with a broad understanding of FCA regulatory requirements as they apply to wholesale banking to implement a risk based Compliance Training Plan covering core UKand European regulatory developments, produce compliance training literature and attend relevant compliance, regulatory and industry forums. Responsibilities will include:Designing, coordinating and implementing a risk based Annual Compliance Training Plan to capture Compliance and Financial Security Training including Read more […]
Thematic Monitoring Compliance VP
Our client is a top tier, truly global Asset Management firm that work with both institutional and retail clients. They are currently looking for a Thematic Monitoring VP to join their established Compliance Department. The Thematic Monitoring team develops and delivers a risk-based regulatory compliance monitoring program across the EMEA business. Key Accountabilities Include: Spear-heading the team’s identification and mitigation of critical areas of conduct risk Mentoring junior team members and encouraging their development Liaising with the Head of Thematic Monitoring to ensure the continuous Read more […]
AVP, AML Compliance
Our client is a global asset management firm and they are well-known for their cultural diversity and recognition within the industry The Role Reporting to the Head of AML, you will be fully responsible for: • Ensuring the business complies with all relevant laws and regulations with a particular focus on the AML program • Monitoring the existing AML program and developing new systems and controls to ensure compliance with current AML requirements • Implementation of AML training and testing program for the business • Working in partnership with the business units in relation to the Read more […]
Associate/Senior Associate, AML Compliance, Private Banking (HK
The CompanyOne of the largest banking group in the world, with a strong compliance function in placed.The RoleAs part of their growing business, you will be reporting to Head of Compliance in HK, responsible for performing transaction monitoring and identifying suspicious transactions, providing compliance advisory to business, ensuring AML policies and procedures are in line with regional offices.Your ProfileThe successful candidate will be a degree holder in Law or Accounting, with professional qualification is highly preferable, You will have at least 4 years working experience in a private Read more […]
Senior Associate/AVP, Control Room Compliance (40-50k/mth)
The CompanyAn investment bank with strong presence in Greater China, with over 200 employees in HK.The RoleAs a part of a growing compliance team, you will be reporting to Head of Control Room Compliance, handling and maintaining Watch List Restricted List, development and implementation of Chinese Wall policies, supervising a small team of compliance professionals on daily staff dealing operation, insider dealing, as well as regular updates on regulatory and in-house policies.Your ProfileThe successful candidate will be a degree holder in Law or Accounting, with a professional qualification, Read more […]
Senior FATCA Compliance Advisory Manager | Leading Global Insurance House | Zurich, Switzerland
Senior FATCA Compliance Advisory Manager | Leading Global Insurance House | Zurich, Switzerland Location – Switzerland Description A leading global insurance house’s headquarters in Zurich is looking at add a Senior FATCA compliance specialist for the central compliance function. The role will report directly into the head of Economic Sanctions Anti-Money Laundering and will have a dotted reporting line into the Head of Compliance. The role will have some managerial responsibilities within the group and this will involve briefing senior management, training junior analysts, managing / implementing Read more […]
EVP, Head of Regulatory Compliance
OVERALL OBJECTIVES: To discharge an effective CF10 “Compliance Oversight” at all times by demonstrating a thorough knowledge of all regulatory handbooks and sourcebook applying it to the business model of the Bank. Ensuring that the Bank remains fully in compliance with all statutory and regulatory obligations through active management of all aspects compliance, in addition to the development of responses to new regulatory environments and supervisory framework. MAIN DUTIES / KEY RESPONSIBILITIES: Act as the Bank’s FCA and PRA Approved Person for the CF10 with direct responsibility of all Read more […]