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Head of Compliance
Reporting directly to the Country Head of Compliance, your main tasks are as follows: lead in the identification of material regulatory risks in the business, including those related to products and customer segments. anticipate and assess key regulatory risks in the business for management consideration and provide guidance to implement appropriate mitigation control measures to meet regulatory obligations. provide timely local regulatory advice and recommendations to the business and proactively monitor business specific regulatory developments. develop and implement a compliance risk review Read more […]
Head Of Compliance – MLRO
Head of Compliance MLRO – Mid Tier Bank – London A successful mid tier firm inLondonthat specialises in wholesale banking is seeking a Head of Compliance and MLRO to focus on AML and day to day compliance. This is an exciting opportunity for an accomplished compliance professional with broad knowledge of FCA rules and PRA regulations and the ability to maintain update and where appropriate establish Anti Money Laundering policies and procedures for the firm. Responsibilities:Advice on regulatory issues to all areas of the firms business.Establish procedures to ensure that all levels of staff are Read more […]
Portfolio Compliance Specialist
Key responsibilities: Portfolio compliance: ensuring investment restrictions are accurately coded, daily investment restriction monitoring Trade execution monitoring: perform monitoring testing, operational risk reporting Client liaison: responding to clients on matters relating to the control environment The successful candidate will come from investment management and have proven experience interpreting IMAs and coding a compliance monitoring system such as Charles River. A fantastic opportunity to join a leading and successful investment manager that provide continued training, internal progression, Read more […]
Compliance officer
My client has an expanding compliance team here in Singapore, they are a true global multinational top tier firm and a desired brand within the global market place. This role is based within the compliance function and calls for people with some private banking product knowledge/experience. You will sit within a core monitoring and surveillance team and have excellent growth and career potential, this role will suit you if you are somebody who is looking to enhance or start a long term career in compliance . For more information on this role click apply or contact Scott Townend on 6510 1355 Read more […]
Regulatory Compliance
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 Monitoring Manager
Our client, a Global Financial Institution is looking for a Compliance Monitoring Manager to provide guidance and advice on all aspects of monitoring activities across private banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Provide regulatory advice related to products, services and clients to address the risks associated with private banking business. Be responsible for all aspects of compliance monitoring, including implementation of best in practice standards, policies and procedures and Read more […]
Compliance Monitoring Officer
Our client, a Global Financial Institution is looking for Compliance Monitoring Officer to help plan and execute the compliance monitoring plan which oversees the Asset / Wealth Management business. The individual would support the Compliance function in identifying and mitigating risks across the business and help promote a proactive compliance culture within the firm. Duties Include: Prepare compliance risk assessments involving active participation from senior management. Carry out preparation and fieldwork in respect of monitoring and review work. Assist in executing the compliance monitoring Read more […]
Assistant Compliance Officer / Compliance Officer (Foreign Exchange)
You will be responsible for: Liaising and dealing with relevant regulatory authorities (eg SFC) Correspond with internal and external customers on compliance issues, such as Client Complaints, Trade Audits, FX License registration and examinations Coordinate with global Compliance Department Monitoring of standard business activities, functions and practices to ensure compliance with regulations and policies Provide compliance training (eg. AML CPT) to in-house staff Provide assistance on ad-hoc investigations in order to get background information to provide advice and recommendations Assist Read more […]
Compliance Case Review Analyst
A leading bank is currently seeking a Compliance Case Review Analyst to work on an Interest Rate Derivative Product Project. The primary objective of this project is to review customer files to verify whether the sales of interest rate hedging products were in line with FSA rules and to provide recommendation on redress, where applicable. You will be responsible for confirming whether the assessment of cases followed the agreed methodology and that this is supported by documentation and validating whether the recommendation for redress is a fair and appropriate outcome for the banks customers, identifying any Read more […]
Compliance Analyst IV Job
Compliance Analyst IV (Job Number: 1316579)DescriptionSupports management in the day-to-day efforts related to compliance with laws, rules, regulations and related policies. The incumbent performs research, analyzes relevant compliance-related information and makes recommendations on necessary procedural/control changes on more complex compliance matters. Additionally, is responsible for understanding trends in the industry and making policy recommendations. Responsibilities may include verifying practices against policies, preparing of management reports and counseling business personnel on compliance Read more […]