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Disputes Resolution Manager, Compliance
About the Role:Providing general advice on a variety of disputes and complaints Preparation of documents and responses to complaints Explaining and negotiating remediation with affected clients Managing responses to various regulatory bodies Interpreting policy wordings as requiredAbout You:Well developed problem solving and decision making skills Strong understanding of internal and external dispute process within Financial Services Solid knowledge of derivatives (preferably ADA accredited) Attention to detail Ability to deal with a variety of internal and external stakeholders Ability Read more […]
VP, Technology Compliance, European Wholesale Bank
Working closely with your regional counterparts, you will be responsible for advisory, development and controls as well as training for the regional CTO organization. Your daily duties will include Advisory to the business on banking technology, outsourcing, cross border, data privacy compliance issuesPro actively identify material regulatory risks and provide input to any regulatory consultation papersDevelop policy and framework around outsourcing as well as data protection and privacy as well as manage the monitoring initiatives for outsourcing, technology as well as banking secrecy. Identify Read more […]
VP, Technology Compliance, European Wholesale Bank
Working closely with your regional counterparts, you will be responsible for advisory, development and controls as well as training for the regional CTO organization. Your daily duties will include Advisory to the business on banking technology, outsourcing, cross border, data privacy compliance issuesPro actively identify material regulatory risks and provide input to any regulatory consultation papersDevelop policy and framework around outsourcing as well as data protection and privacy as well as manage the monitoring initiatives for outsourcing, technology as well as banking secrecy. Identify Read more […]
PMO/Project Support Analyst – Financial Crime/Compliance Change Projects – Leading Bank – £350
Successful applicants will demonstrate a track record and experience of: Arranging Travel arrangements Scheduling meetings. Managing multiple project/programme plans. Good Communications sills – written, verbal and listening. Contact me on: Kam.Bamrah@alexanderash.com for more information
MLRO & Compliance Officer
This could be an excellent opportunity for an ambitious person who has experience in the field to take the next step into a senior executive role within a private bank. MLRO Compliance Officer THE ROLE: – Managing MLRO and Compliance functions in London office – MLRO implementation – Monitoring of accounts – Assessment of accounts low/medium/high risk. KYC – Providing reports to group head of compliance based at head office – Sitting on New accounts committee – Compliance Conduct Regulatory Reporting – Manage and approving new accounts both booked and ran from London – MLRO training within Read more […]
UK Senior Compliance Specialist / Compliance Manager
This is an excellent opportunity to promote a proactive compliance culture and help mitigate regulatory risks within a global company with an enviable reputation.The role will involve: * Supporting the Head of Compliance in the design, development and implementation of the firms compliance program * Acting as a contact with regulatory bodies and as a liaison with external and internal counsel * Anticipating changes in regulatory regimes in Europe * Monitoring the implementation of regulatory changes (e.g EMIR, Dodd Frank) * Developing and leading projects to enhance compliance procedures, policies Read more […]
UK Senior Compliance Specialist / Compliance Manager
This is an excellent opportunity to promote a proactive compliance culture and help mitigate regulatory risks within a global company with an enviable reputation.The role will involve: * Supporting the Head of Compliance in the design, development and implementation of the firms compliance program * Acting as a contact with regulatory bodies and as a liaison with external and internal counsel * Anticipating changes in regulatory regimes in Europe * Monitoring the implementation of regulatory changes (e.g EMIR, Dodd Frank) * Developing and leading projects to enhance compliance procedures, policies Read more […]
State Street Global Advisors 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 […]
UK Fund Administration Compliance Monitoring Manager Job
UK Fund Administration Compliance Monitoring Manager (Job Number: 1313555)DescriptionJob Purpose: ( Outline the remit of the role and how the role fits within the respective team/department ) The jobholder will take on prime responsibility for assessing all current / emerging risks concerning the local business and play a key role in determining the structure and composition of the annual monitoring program as well as ensuring timely execution of the program. This is achieved primarily through the following: • Managing a team of Compliance Officers in the completion of the annual compliance monitoring Read more […]
UK Compliance Officer Investment Services Fund Admin Job
UK Compliance Officer Investment Services Fund Admin (Job Number: 1313557)DescriptionJob Purpose: ( Outline the remit of the role and how the role fits within the respective team/department ) The role of the UK Compliance Officer Investment Services Fund Admin is primarily to support BNY Mellon to remain compliant with regulatory and corporate compliance policies. This is achieved primarily through the following: • The provision of technical advice to business/buisness partner colleagues on regulatory compliance issues. This will include proactively identifying and advising upon emrging Compliance Read more […]