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Compliance Managers
Right now, we have opportunities spanning all levels within Anti Money Laundering (AML), Sanctions, Anti-Bribery and Corruption (ABC), Conduct Compliance and Regulatory Affairs and Policy within our two dedicated functions; Financial Crime Compliance and Regulatory Compliance.With recent major investment and the appointment of two dynamic and highly experienced leaders, you’ll be working in an environment that’s full of exciting challenges and opportunities to help us create an industry leading Compliance community. Unlock your true potential today. Read more […]
Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Compliance Review Analyst – Wealth Management
As a Compliance Review Analyst, Wealth Management, your primary responsibility will be to assess Macquarie Private Wealth Advisor’s practices for adherence to relevant legislation, regulations and other licensing obligations under our AFSL. You will then identify remedial actions to be undertaken and assist representatives in understanding their obligations.Key responsibilities include:undertaking the compliance assurance program specific to financial product adviceidentifying and escalating compliance incidents arising from the assurance program to the Compliance Division and RMGproviding coaching Read more […]
Senior Manager-Retail Banking & Wealth Management (Recertification), Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed Read more […]
Manager FCC Monitoring MENA, Compliance
High Risk Role Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that Read more […]
Central Compliance Training Manager
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed. Intended Experience for this position : 3+ years of training experience (either locally or outside of the US) within the financial services industry or securities compliance function preferred. Key high level training responsibilities :· Deliver new hire training and Read more […]
Compliance Associate, Private Banking ($30-40k/mth)
The CompanyAn expanding private bank, with strong presence in Europe, Middle East andAsia, with over 50 employees in HK, currently looking for a compliance associate to join their general compliance team.The RoleAs part of their growing business, you will be reporting to Head of Compliance in HK, responsible for performing transaction monitoring and identifying suspicious transactions, providing compliance advisory to business, ensuring AML policies and procedures are in line with regional offices. You will also be responsible for licensing applications, regular compliance review as well as other Read more […]
Wealth Management Compliance Advisory
Role: Executive Director Wealth Management AdvisoryCompany: Leading Wealth Management firmSalary: Upto £125,000Location: City of LondonA leading wealth management firm is looking for an Executive Director in compliance advisory. The role is managing a team of 5 people and will be responsible for advisory.Responsibilities of the role include:Identification of compliance risks and the provision of solutions and methods to detect, prevent, mitigate, and or respond to such risks.Analyse and report on trends and regulatory developments to ensure Compliance services provided by the team remain Read more […]
AM & Wealth Compliance
Fantastic Wealth Asset Management Compliance Contract opportunity£300-450 per dayWorking in Tier 1 Banks – AM Wealth divisionAdvisory focused roleEssential experience 1. Industry knowledgeA broad understanding of the wealth management industry including key service offerings (wealth planning, investment advice, investment management)2. Product KnowledgeWealth Management product knowledge including regulated and unregulated collective investment schemes, equities, fixed income and derivatives.3. Compliance KnowledgeComprehensive knowledge of FCA’s rules regarding retail distribution review, Read more […]