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Programme Manager – Compliance IT – Transaction Monitoring
Programme Manager – Compliance IT – Transaction Monitoring – Investment Bank Large scale technology change programme within Compliance and AML technology for a leading investment bank require a programme manager with the relevant domain knowledge. This is senior level role with direct oversight of managing technology initiatives focusing on enhancing the banks AML capacities, with a particular focus on data visualisation capabilities including use of SAS, Qlikview, SpotFire. Working within the Financial Crime Compliance group you will take direct ownership of change initiatives ensuring projects Read more […]
Compliance Reporting Manager
RSA is one of the world’s leading FTSE 100 general insurers with a proud heritage dating back over 300 years. With a shareholders’ fund of £3.5 billion, we provide high quality, innovative insurance products and services for some 20 million customers in over 130 countries, setting new standards in the industry. We have ambitious plans for profitable growth and see an investment in our people as an investment in our future. And that’s where you come in. What do you need? Experience in a Financial Services Compliance role this could be In-House, from the Regulatory/Compliance practice of a Management Read more […]
Compliance / Legal / ODD specialist
A growing equity long/short hedge fund with strong and stable seed backer and good start-up performance is now looking to take on general counsel / head of compliance to assist the fund through its first major external asset raising drive. They are looking for someone with experience of guiding hedge funds though complex due diligence processes with institutional investors. This will be a qualified fund lawyer or hedge fund head of compliance that can work with the COO and assist with the more technical and control aspects of the ODD process to allow the COO to focus more on sales and marketing Read more […]
Global Quality Assurance Compliance Officer
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 ManagementGlobal 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 Read more […]
Regulatory Compliance Officer
Job ID: 13182Position Description: The Compliance Officer is responsible for working with the Regulatory Compliance team to facilitate PIMCO’s compliance program. The candidate will primarily be responsible for assisting with the implementation of the compliance requirements for PIMCO’s investment advisory activities in the New York office. The role will also require working on compliance initiatives as well as providing direct regulatory compliance support to portfolio management activities. The candidate will work closely with teams and individuals across all functional areas within the firm Read more […]
Compliance Senior Manager
Compliance Senior Manager A global organisation with offices in HK seeks to recruit a Regulatory Compliance Senior Manager with 8-12 years relevant experience. Key responsibilities o Advice and guidance on structuring approaches to emerging regulatory compliance or regulatory exam findings o Regulatory issue remediation o Regulatory change management including planning and communication with regulators o Support ‘mock exam’ reviews, policy development and drafting etc o Assistance with relationship management between regulators and financial Read more […]
Assistant Manager, Compliance
Eastspring Investments, part of Prudential Corporation Asia, is Prudential’s* asset management business in Asia. It is one of Asia’s largest asset managers, with operations in 12 markets (including a US sales office) and just under 2,000 employees in Asia and about US$94.4billion (£58.1 billion) in assets under management (at December 31, 2012). Eastspring Investments recently topped an annual ranking by size of retail fund managers in Asia.** About half of total assets are sourced from third party clients including a wide range of retail and institutional investors. Eastspring Investments also Read more […]
Compliance
The London office acts as a central hub for all capital markets activities in Europe and as such the Compliance team provides guidance and regulatory support for all EMEA Capital Markets operations. The Control Room is responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts for the Firm. This is accomplished by a number of functions including: * Watch Restricted List management * Watch and Restricted List trade monitoring * Any other compliance or regulatory related matters Key Responsibilities/Accountabilities: Read more […]
Regional Head of Regulatory Compliance
Key Responsibilities:Leadership to ensure proactive approach is taken to identification of Regulatory Compliance risk change and potential impacts on the Technology Services Business Model in AsiaContinuous review for appropriateness of framework to monitor regulatory compliance developmentsImplement as required market product suitability, sales and staff remuneration policies and systems that ensure that the business’ exposure to regulatory compliance and reputational risks is managed, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding Read more […]
Regional Head of Compliance Analytics and Systems Control
Key Responsibilities:Lead the Analytics and Systems Control program regionally across all business lines for the full range of coverage responsibilities including business process analysis, program execution, compliance testing, and outreach and liaison activities;Advise business and senior management on regulatory and risk management issues related to the transaction monitoring program;Provide regional oversight for model development to reflect real world risk environments that determine likely risk profiles in given market conditions, segments and geographies.Provide input and regional oversight Read more […]