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CASS Compliance Operations Manager
Our client is looking for someone at director level that can influence strategy across the business and identify, challenge and resolve regulatory risks. You will need to have a good 3-5 years in a recent role where you have been responsible for implementing CASS processes, procedures and controls. The role will be involved in external committee meetings with the BBA, FCA, FOA to ensure the bank is kept up to date with relevant regulatory changes, so you will be a excellent in stakeholder management and communication skills.
Client On Boarding Manager, Compliance
Global Investment bank is looking for a head of client On-boarding Compliance.Contract or Permanent. Competitive rate. Based in canary wharf Role itself:The role will be to manage the London client on boarding team. Customer base includes large corporate financial institutionsClient facing role Essential experience:Global markets knowledge and experience essential, ideally fixed incomeUnderstanding KYC and AML for large institutional clients in European and non-European jurisdictions Read more […]
Compliance AVP / VP | Top regional bank
Good exposure to business Attractive work environment Top tier organisation The firm is a leading regional bank with significant international footprint in both wealth management and corporate banking and is continuing to expand its presence in Asia Pacific. Reporting directly to the Head of compliance advisory, the key responsibilities for this role includes: Working closely with business unit management and the respective compliance policy owners, to provide counsel, advice and support to the business on compliance related areas, Support/drive necessary training and education on compliance Read more […]
Senior Sales Manager, Risk & Compliance
Global leader in financial news and dataHigh growth business unitExcellent career opportunitiesReporting in to the North Asia Head of Sales, this role will focus on selling unique data that is specific to AML, KYC and Anti-Corruption regulations in to institutional and corporate clients. Key Responsibilities:Identify, develop and close new business opportunities relevant to the Risk Compliance productsWork closely with marketing to support sales objectivesEducate sales team in how to increase the company’s presence within the Risk Compliance industryBuild strong relationships with key decision Read more […]
INVESTMENT COMPLIANCE
Our client is an international asset management house. They focus on providing clients with global investment solutions that meet the demands and challenges of sophisticated and complex investment and economic circumstances. With steady growth, they are now looking for an outstanding professional to join their team. Responsible for advising and handling investment compliance related matters for investment products offered in Asia. Responsible for managing the time of trade fund monitoring function to compliant with applicable regulations, investment guidelines and restrictions as well as country-registration Read more […]
GLOBAL HEAD OF COMPLIANCE
Our client is a Global Asset Management business which has an international presence with offices across North America and mainland Europe, as well as in Australia and Ireland. A very experienced compliance professional is now sought to become Global Head of Compliance and take a strategic overview of compliance at the firm. This individual will be expected to, inter alia: Have overall global responsibility for the compliance team within the firm in each jurisdiction in which they operate; Manage all aspects of business risk inherent in the compliance function; Ensure that companies within Read more […]
Head of Compliance, UK and MLRO
Summary The Head of Compliance, UK for Kepler Capital Markets (KCM) London branch holds the UK Financial Conduct Authority (FCA) controlled function of CF10, Compliance Oversight and CF11, Money Laundering Reporting Officer for Cheuvreux International Ltd (a group company of KCM). They are responsible for the day to day management of all compliance within the London branch, and will have a reporting line to the Head of Compliance in Paris to enable coordination of compliance policies. The role will involve developing compliance activities across all areas of the business, and coordinating these Read more […]
Fair Lending & Bank Advisory Compliance Lead for Award-Winning Wealth Management Firm
– Global Wealth Management Firm -Based in New York City -180-200k salary plus 50% bonus International wealth management firm is looking to bring on a private banking compliance expert. This firm provides wealth management solutions to high net worth and institutional clients. Within this role, you will serve as the specialist for regulatory and compliance related matters, developing relationships with the compliance internal testing team and the compliance director. Candidates will ideally have around 10 years of compliance related experience in consumer and private banking as well as a thorough Read more […]
Regulatory Compliance Manager
Regulatory Compliance Manager, Policies and Standards My client is one of the leading financial services firms in the banking sector and they currently seek a Regulatory Compliance Manager. You will be responsible for developing best in practice standards, policies and procedures to govern Regulatory Compliance, ensuring the bank’s exposure to current and emerging risk is managed appropriately. Responsibilities The role holder will participate in various work streams and initiatives to ensure that implementation risks and issues are considered and addressed. Proactive approach to identification Read more […]
Compliance Executive, I&BB Compliance & Regulatory Risk. 6 month fixed-term contract
A household name in the market, Commbank are proud of our reputation of being Australia’s number one Bank in customer service in our 101 st year of trading. A great opportunity has arisen in our Institutional Business Banking (IBB) department. The TeamThe Compliance and Regulatory Risk team is responsible for ensuring that all business activities, transactions and processes are conducted in accordance with the legislative framework.The RoleTo support and work cooperatively with the Business Private Banking (BPB) divisions to assist in ensuring compliance with laws, regulations, industry codes Read more […]