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Compliance Monitoring Assistant
About the role Performance of Compliance Monitoring Programme (including testing, report production and ensuring completion of any necessary corrective action) Provide support as required with regulator visits Assist in reviewing regulatory developments when required Approval of marketing material Provision of compliance advice to the business in the absence of other members of the Compliance/Legal team. What we are looking for The right candidate will have previous experience in conducting monitoring activity in particular within an investment management firm, investment bank or law firm. The Read more […]
Compliance Director, PMO Manager
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.Global Compliance Regulatory Management plays a critical role in the successful execution of the firm’s compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure Read more […]
Business Analyst – Asset Manager – Compliance (AML/KYC) – Policies and Procedures – £580.00
The selected job holder will be required to work on the policies and procedures work stream and will therefore be required to have experience in developing, drafting and implementing policies and procedures at a Global level. Business Analyst – Asset Manager – Compliance (AML/KYC) – Policies and Procedures – £580.00 – 650.00 Per Day. We’re recruiting for a Senior Business Analyst who has Asset Management or similar (Wealth or Investment Management) domain knowledge and experience coupled with knowledge of Client Due Diligence and Regulatory risk experience. The selected job holder will Read more […]
Sales & Compliance Coach
My client is looking to recruit a team of Sales and Compliance coaches to work for one of the largest financial institutes. These roles are permanent placements based in Bristol City Centre. Start date 9th December 2013You will be accountable and responsible for the delivery of excellent sales and service through effective coaching, training and development of Mortgages Product Specialists and Sales Consultants. By monitoring and reporting on performance they continually aim to maximise the capability of the contact centre by motivating staff to achieve excellence across a broad range of regulatory Read more […]
Private Banking- Regulatory Compliance/AML (contract)
Proactively assist the management in its prime responsibility of complying with relevant • review of clients’ profiles. Review the client adoption and Know Your clients policies/procedures, including the • staff training, client due diligence, client reviews and transaction monitoring. Ensure appropriate compliance arrangements are in place including compliance policies, regulations to ensure that the Bank is able to conduct its business within applicable laws, directives, rule and regulations, and in accordance with the Bank’s Group Policy General Role Description • Key Features of Read more […]
Compliance Testing Manager
Provide expert, high level technical knowledge for Bank Secrecy Act (BSA) and antimoney laundering/terrorist financing (AML/TF) laws, regulations, inter-governmental body guidance and federal functional regulator examination knowledge for the BSA/ AML Group from an enterprise-wide perspective. Provide BSA/AML management with internal evaluations of the BSA/AML Group’s internal control process for compliance with BSA/AML/TF laws, regulations, and regulatory guidance. Desired Skills: 1. Day-to-day high level knowledge and experience with the Bank Secrecy Act, AML/ TF, OFAC and other related laws, Read more […]
Compliance Monitoring
The roles are from analyst to director level with salaries from £40,000 to £150,000 base. Covering all areas of compliance monitoring I am very interested in speaking to people that are experienced in one, more or all of the following: PA dealing, conflicts, market abuse, assurance, conduct risk, thematic reviews, guideline monitoring, and AML and Financial Crime Alert monitoring. Some roles have a global responsibility, mainly director level. All clients are good names on the market and offer a range of career development and stakeholder management.
Asset Management Compliance Risk Analysis and Testing
Responsibilities: • Identifying and assessing compliance risks.• Designing and developing testing strategies and analyses.• Consulting with management to develop corrective action plans while maintaining a balance between risk mitigation and operational efficiency.• Documenting and reporting findings to various levels of management.• Developing documentation of new, complex or higher risk business processes (flowcharting, risk and control mapping). Qualifications: • Internal audit or broad base of investment advisory firm experience.• General knowledge of Investment Company and Investment Read more […]
Compliance Manager, Vice President
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.42 trillion in assets under custody and administration and $2.18 trillion in assets under management at March 31, 2013, State Street operates globally in more than 100 geographic markets and employs 29,460 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,460 employees across 29 countries, Read more […]
Risk & Compliance Officer
I have an opportunity for a Risk Compliance officer for a leading Bank based in Belfast on a 6 month contract. This position forms part of the Risk Office within the Bank. This role forms part of the Risk Partner unit which provides advice and guidance to the various business units on managing their risks, including escalating risk and control issues to senior management. The individual is required to build positive, effective relationships with key stakeholders within Business Units, developing their understanding of risk compliance matters and influencing decisions to ensure compliant Read more […]