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Leading Financial Organisation – Compliance IT – Project Manager / Business Analyst
The successful candidate will be managing an application development team that is spread across a variety of locations. They will be working directly with senior business and IT leaders to deliver projects across control room, large holdings and futures compliance within compliance IT. The individual must have good product knowledge in equities, futures and swap and have the ability to deliver IT projects. Experience Required: Previous experience delivering IT projects within a financial organisation Core BA skills (gathering requirements and writing specifications) End to end lifecycle Read more […]
Compliance
The Role: * Provide day-to-day advisory service in relation to regulatory requirements, internal policies and procedures, best practice guidelines and reputational matters that impact debt capital market activities across all EMEA jurisdictions* Liaise closely with the DCM and Leveraged Finance businesses and the Legal Teams covering these businesses to identify and manage the regulatory risks associated with specific transactions and the businesses as a whole* Build and maintain strong working relationships with stakeholders and leverage those relationships to achieve the objectives of the role Read more […]
Compliance Australia, Anti-Money Laundering (AML) Group, 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 .Morgan Stanley is currently seeking a driven and seasoned professional to assist the Head of Compliance in Australia and Read more […]
Compliance Examiner – Member Regulation, Sales Practice
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; Read more […]
Head Of Compliance
A global bank with a strong presence in Asia, require a Head of Compliance to run the compliance programme for their UK business. The role will cover both their retail and wholesale business lines, and report in to the MD of the UK Business. The role will be a standalone compliance role, and so will be completely generalist in nature. You will hold both the CF10 CF11. Due to the small size of this business it is essential that you can engage with the business on compliance issues comfortably, being proactive in your approach to the business. Your main responsibilities will include;Devise and Read more […]
Compliance Manager
This person will work closely with different businesses to mature their control environments, guiding business partners in their management of their Business Obligation and Action Plans, to:· deliver demonstrable improvements in the integrity of the different control environments; and· reflect and integrate regulatory change.This person will support the Head of Compliance to achieve robust results within resourcing constraints, and to skillfully manage the business partner experience in that context.This person will cultivate stakeholder relationships in the course of:· representing Compliance Read more […]
MI/MIS Project/Programme Reporting Manager – Global Bank – Compliance/Financial Crime Change – Qlikview/Cognos reporting tool exp required. Rate: 600
Successful applicants will demonstrate: Experience of leading the implementation of Changes to Management Information (MI), controls and reg reporting. A track record and SME knowledge of MI Reporting Change projects within Global Investment Bank. Knowledge and of reporting presentation tools – Qlikview and Cognos. For more information, feel free to contact me on Kam.Bamrah@alexanderash.com. To be kept in the loop of other, similar Change and Transformation (Contract) roles – lets connect on LinkedIn: uk.linkedin.com/in/kambamrah/ – we work for leading Investment Banks, Management Consultancies Read more […]
Project Manager, Compliance: Hong Kong
We have been mandated by a leading Global Bank to find strong Project Managers for a compliance project within Investment Banking based in Hong Kong. We are looking for candidates with: Project background Expereince within Investment Banking, Rounded front to back view of Investment Banking IT Skills Compliance expereience would be nice to have Candidates must know how to navigate in and around an Investment Bank and be able to slot into the culture. Have the ability to influence a programme globally/virtually and keep all on track. Mobilisation is expected in November/December. Read more […]
Compliance Officer (Equity Research and ECM)
Your responsibilities will include the following:Research: – Daily validation of Research reports- Monitoring of analysts’ communication with corporates, investors, sales forces ECM: – Compliance monitoring of ECM deals (IPO, RI, ABB)- Maintenance of regulatory lists (watch lists, insider lists, etc)Generic: – Business advice and support to Analysts and ECM team- Training- Contribution to performing the Research ECM Compliance monitoring program- Contribution to definition, understanding and application of internal policies and procedures- Preparation of monthly reports to the ManagementThis is Read more […]
Compliance Manager, Vice President
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]