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Compliance Specialist
BNP Paribas is one of the best rated banks in the world, with a presence in more than 80 countries and more than 200,000 employees. BNP Paribas Securities Services is a wholly-owned subsidiary of the BNP Paribas Group, delivering flexibility and commitment, backed by the strength of a leading universal bank. BNP Paribas Securities Services has been rated as a top five global provider of securities services. Operating across the investment cycle, we provide post-trade administration solutions to buy-side and sell-side financial institutions and issuers. With a local presence across 34 countries Read more […]
Compliance Manager-Investments and Insurance
The company has grown rapidly in the last year increasing both the Operational Risk and Compliance teams. This role provides a real chance to progress your career in a company that is aggressively growing across Australia.Role Responsibilities: – Enhancement of the Group Compliance Plan, policies, and procedures.- Compliance training and promoting a risk aware culture across the organisation.- AML monitoring, reporting and testing- Make recommendations for process and operational improvement – Responsible for implementation and monitoring of KRI´s- Senior report writing and presentation Role Requirements:- Read more […]
Compliance Analyst
A generalist position, you will be involved in the following: • Daily monitoring • Ongoing fund restriction checks • Reviewing client take on packs • Ensuring compliance manuals are up-to-date and accurate • Maintaining relationships with front office • Being aware of regulatory changes An excellent entry level opportunity for a bright individual with proven compliance experience / internships in investment management to develop their career within the industry. Mason Blake acts as an employment agency for permanent recruitment and employment business Read more […]
Compliance Specialist
The successful candidate will ensure the group is honouring its regulatory requirements obligations and is up to date with all regulatory changes. You will have experience in the insurance sector and knowledge of the Insurance Mediation Directive (IMD) and MIFID2. You will also have extensive experience dealing with the UK regulator. Liaising with the relevant authorities and regulators by which the group is bound in order to ensure that the group acts in accordance with their rules. Monitoring and implementation of controls in order to prevent money laundering. Keeping up to date with regulation Read more […]
Compliance Monitoring
This role will take responsibility for management of the Compliance Monitoring Programme through planning, preparation and completion of the rolling risk-based assessment programme. Candidates should have the following skills and experience: – Banking and/or Compliance Related Qualification(s) – 4+ years previous compliance monitoring experience, ideally within a retail bank – Knowledge of Financial Crime (AML, Sanctions, terrorist Financing etc) – Strong knowledge of Regulatory Returns and FSA Handbook – Excellent communication skillsBadenoch Clark is acting as an Employment Agency in relation Read more […]
Compliance Program Manager / Business Analyst, Global Compliance and Regulatory Management
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 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 that identifies measures Read more […]
Senior Metrics & Analytics Analyst, Corporate & Investment Bank Compliance
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. The Corporate Investment Bank (“CIB”) offers a broad suite of investment banking, market-making, prime brokerage, and treasury and securities products and services to a global client base of corporations, investors, financial institutions, government and municipal entities. Read more […]
Compliance Director
Company The Western Union Company is a NYSE-Traded Fortune 500 Company and a leader in global payment services, with a 160 year history of connecting friends, family and businesses around the world. With our roots in the telegram business, we were first to offer electronic money transfer services in 1871. Western Union is the single largest player in a huge flow of resources – a transfer of billions of dollars every year that touches one sixth of the world’s population. We’re a force for economic growth, a mainstay for emerging nations, and a growing, profitable business. We offer the freedom Read more […]
Compliance Development Manager
A challenging and highly visible role responsible for executing the compliance monitoring audit program and deliverinig compliance services to financial planners in the various distribution channels of Financial Advice.The ideal candidate will have 1-3 years experience in a compliance type role in financial planning with:An understanding of financial planning practices and how they operateSolid knowledge of legislation and policy relating to the financial planning processRG146 qualifications essentialA summary of the main tasks include:Evaluating and managing compliance risks within adviser practices Read more […]
Head of Fixed Income Compliance
We are looking to add to the Compliance Team. 1. Job Objective To co-ordinate and assist the Firm as a whole in compliance with UK legislation including FCA rules and regulations and applicable EU and overseas legal and regulatory requirements with respect to Fixed Income Sales and Trading and Debt Capital Markets (with a particular focus on distressed assets, high yield bonds, claims trading, leveraged loans, bank debt and emerging markets). 2. Job Dimensions The Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, Read more […]