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Senior Compliance Manager
Senior Compliance Manager – Policy Governance Responsibilities Work closely with the Policy Governance Team and the Risk Assessment Team with considerable autonomy. Provide administrative, system and technical support to the Senior Manager Policy Governance. Actively interact with colleagues globally to ensure a consistent understanding of the arrangements for distribution of new global policies. Implement and maintain a robust record keeping system to track and record changes to Regulatory Compliance and Financial Crime Compliance global policy and dispensation requests and approvals. Read more […]
Advisor, Compliance Framework
A household name in the market, Commbank are proud of our reputation of being Australia’s number one Bank in customer service in our 101 st year of trading. A great opportunity has arisen in our Group Compliance department. The TeamThe Compliance Framework team is responsible for the management of the Group’s Compliance Risk Management Framework (CRMF) including policy development compliance monitoring, tracking regulatory engagement across the Group as well as providing compliance support to relevant stakeholders.The RoleTo assist in the implementation of an effective CRMF across the Group including Read more […]
Legal & Compliance Assistant
About Us: CITIC Securities, whose A shares are listed on the Shanghai Stock Exchange and H shares on the main board of The Stock Exchange of Hong Kong Limited, is a leading investment bank in China. CITIC Securities International Company Limited, a wholly-owned subsidiary of CITIC Securities, is located in the heart of Asia’s financial center – Hong Kong. We offer comprehensive financial services to individual, high-net-worth, institutional and corporate clients in providing capital market advisory services, security brokerage, equity research and asset management. Our vision is to become a Read more […]
Compliance Manager
A global banking group require an Compliance Manager to join their bank who is a specialist within compliance related to Payments and Cash Management. The role will assist management with the development and enhancement of Payments and Cash Management procedures and methodology on a global basis. Your main responsibilities will include;To support the Global Head of Regulatory Compliance and the Global Head of Financial Crime Compliance, Commercial Banking in the direction of Compliance globally by: Helping implement policy and standards for related Compliance and regulatory issues in relation Read more […]
Compliance/Legal
Reporting to the compliance director the purpose of the role will be to assist in ensuring the company conducts its business in compliance with the FCA, the Rules and Regulations of each relevant Exchange and Clearing House and all legislation relating to the conducting of Investment Business, with a specific focus on the legal requests. Main Duties; Assist in handling in-house/external proceedings for Recovery, Litigation, Bankruptcy together with the negotiation of legally enforceable contractual documentation agreements. Responsible for the drafting of legal documentation and framework agreements Read more […]
Compliance Officer
Our client, an international financial services firm is looking for a Compliance Officer to assist the Head of Compliance in ensuring the business complies with international regulation and AML rules that the firm must comply with. The individual would help identify and mitigate regulatory risks across the business and help promote a proactive compliance culture. Duties Include: Support the Head of Compliance to ensure the business meets its regulatory and AML requirements. Liaise with other departments in relation to money laundering deterrence, including the provision of regulatory support and Read more […]
Head of Fixed Income Compliance Advisory
Our client, a Global Financial Institution is looking for a Head of Fixed Income Compliance Advisory to provide support and guidance to their Fixed Income, Currency and Commodities business. The individual would help to support and lead the compliance function in identifying and mitigating risks across the FICC business and help promote a proactive compliance culture within the firm. Duties Include: Manage a team responsible for providing floor-based advisory compliance support to the FICC trading, sales and distribution business. Develop and maintain compliance knowledge of current and future Read more […]
Compliance Advisor
Our client, an international financial services firm is looking for a Compliance Officer to assist the Head of Compliance in ensuring the business complies with international regulation and AML rules that the firm must comply with. The individual would help identify and mitigate regulatory risks across the business and help promote a proactive compliance culture. Duties Include: Support the Head of Compliance to ensure the business meets its regulatory and AML requirements. Liaise with other departments in relation to money laundering deterrence, including the provision of regulatory support and Read more […]
Compliance Assistant
Talk to a consultant Talk to Katherine Lord, the specialist consultant managing this position, located in London Contact consultant ttelephone:0203 465 0110 ffax:020 3465 0003 5th Floor, 107 Cheapside, London, London, United Kingdom, EC2V 6DB Read more […]
Risk and Compliance Advisor
Work for a Market LeaderNewly Created Position – Due to GrowthProfessional and Personable Team of Risk and Compliance ProfessionalsA leader in the wealth management industry, this organisation is a respected employer of choice experiencing growth. Their current growth strategies have created the need for a new position for a suitably experienced Risk and Compliance Adviser This position requires a practiced and capable risk and compliance professional to be involved in a variety of risk management and compliance activities. A key element of this position is to be a change management relationship Read more […]