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Compliance (AML/CFT)
Manager – AML Compliance/Sanctions Responsibilities: To lead and organise AML/CFT Team with primary focus on sanctions matters in Compliance Monitor branch compliance with AML/ CFT/ Sanction/ Tax regulations and laws and report any violations to the Management Provide training and advice on AML/ CFT/ Sanction/ Tax Offences Review customer on-boarding and monitoring transactions in accordance with the AML Sanction/ Tax Offence framework Ensure submission of suspicious transaction reports to CAD within the requisite deadline. Keep abreast with industry AML/ Sanctions/ Tax Offence practices and Read more […]
Markets Structuring Compliance – VP
This is a fantastic opportunity to develop broad product knowledge, while advising on compliance, regulatory and tax/finance affairs. This department is heading up by a highly respected and knowledgeable Director with an excellent reputation in the industry. The role will involve: compliance support and management of the EMEA Markets Structuring business. providing guidance on complex and detailed structured transactions Deliver business updates on compliance initiatives, rule change consultation and implementation. Day-to-day business advisory and guidance, and execution of Compliance programs Read more […]
Senior Compliance Advisory Manager
Responsibilities: • Provide advice and guidance on regulatory issues affecting the business • Keep abreast of regulatory developments and the impact on the business • Implement and maintain policies procedures to ensure compliance with all of the latest regulations • Build a transparent and proactive relationship with the regulator • Identify assess regulatory risk • Provide regulatory training to the front office • Lead and develop the Advisory team Skills Experience: • A strong and demonstrated ability to provide compliance advice and a thorough understanding of relevant Read more […]
Compliance Monitoring Analyst (1 Year Placement)
MG Investments is Prudential plc’s UK based fund management business and is one of Europe’s leading active asset managers with more than £238.4 billion* of funds under management across fixed income, equity, property and multi-asset strategies. -*as at 31 March 2013OpportunityThe Compliance Monitoring Analyst intern role is a 1 year placement, offering a candidate a fantastic opportunity to develop a career in Compliance.The MG Asset Management Compliance team It is made up of three sub teams:Fixed Income and Equities Advisory – The two advisory teams provide support to the business and work as Read more […]
Compliance Examiner – Member Regulation, Membership Application Program
Job Summary: MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: • Read more […]
Compliance Examiner – Member Regulation, Sales Practice
Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances and operations; sales, underwriting Read more […]
Compliance Manager
Required Experience Good knowledge of FCA and PRA rules, requirements and guidance Ability to conduct Compliance Monitoring Reviews Ability to create efficient and effective policy and process Desirable Qualifications/Experience: 5 to 6 years compliance experience in a general Compliance / AML role within the Banking sector For more information or to apply for this role, please contact Hannah at Hannah.logan@jcwresourcing.com or call on 0203 589 9283 JCW are operating as a recruitment agency for the purposes of this position. Read more […]
VP, FICC Compliance
Leading international bank are seeking to recruit an experienced Compliance professional to join their Fixed Income Advisory team in Hong Kong. Following a sustained period of stability and now growth, this is an excellent opportunity to join a highly respected organisation. My Client, a leading international bank with a substantial footprint in Asia is seeking to appoint an experienced Compliance professional to join their Compliance Advisory function relating to their Fixed Income business. This is an opportunity to join a leading organisation that are continuing their commitment to Asia and Read more […]
Equities Compliance
This global investment bank, with offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres, is actively seeking a Compliance Officer to focus on their Equity Sales Trading business. Reporting to the Head of Equities Sales and Trading Compliance, you will provide Compliance Support to the various areas within the Equities business on the trading floor. Responsibilities: • Provide day-to-day advisory service to the Equities department including equity sales/sales trading, Pan European single stock trading, programme trading, synthetic products, warrants, listed derivatives Read more […]
Compliance HK, Asia Pacific Anti-Money Laundering (AML), ISG Coverage, Vice President
Position Description Morgan Stanley’s Anti-Money Laundering (AML) Group, an integral part of the global Legal and Compliance Division, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all of the Firm’s various businesses globally, including Institutional Securities Group (e.g. Fixed Income and Commodities, Global Capital Markets, Institutional Equities, Investment Banking, Wealth Management and Research) and Investment Management.Headquartered in Hong Kong (HK), the Asia (including Japan) Anti-Money Laundering (AML) Group includes dedicated personnel Read more […]