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Compliance Consultant
Role Summary/Purpose Assist to design, develop and manage Compliance infrastructure and programs across the Operations and Consumer Lending business. Evaluate and drive Compliance behaviours, processes and culture across the Operations business. Work with the business and distribution channels to develop Compliance programs and enhance regulatory reporting that meet the needs of the business whilst complying with our three Australian Credit licenses (ACL) and legal obligations. Essential Responsibilities Provide consistent compliance advice in a timely manner to Operations (review of marketing Read more […]
Compliance Manager, Risk & Compliance Solutions
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 Wealth Risk Management department. The TeamThe Wealth Risk Management Shared Solutions (WRMSS) team is responsible for ensuring that the Wealth Management Risk Management and Compliance frameworks operate effectively. This includes:Providing operational risk management and compliance support to the WRM divisional risk teams. Acting as the key contact between Group and the WRM divisional risk teams, which Read more […]
Assistant Vice President, Trade and Communications Surveillance, Group Compliance
Group Compliance is committed to implementing compliance best practices across the DBS Group to protect our reputation as well as our capital. It provides leadership, oversight and guidance for the establishment of a strong compliance culture and framework. Responsibilities: Implementation of Trade and Communications Surveillance Programme in Singapore and the region Performing monitoring of trading activities for the Treasury Markets business to ensure Compliance with MAS and other regulations in relation to Market Conduct and Benchmark Rate Setting Performing electronic communications surveillance, Read more […]
Business Project Manager (Generic Accounts Compliance Program) – Project Manager – Sydney
About the RoleThe EPD (Enterprise Program Delivery) team is seeking an accomplished Business Project Manager. The Project Manager will collaborate with project teams, of varying sizes, across all business areas in the enterprise. The successful candidate will focus on the delivery of enterprise-wide remediation of accounts in-line with the Generic Account Control Standard – previous experience with IT risk and compliance projects is desirable.About YouTo be successful you will have the following: 5+ years of Project Management experience, ideally within IT infrastructure services Proven experience Read more […]
Treasury Compliance Manager
APAC coverage Newly created headcount in HK About Our Client Our client is a Leading Investment Bank. Job Description Liaise directly with the Treasury business to provide compliance coverage and advise Review business processes and procedures to ensure adequate controls are in place Regulatory liaison on issues as they impact Treasury Provide face to face as well as assist designing on-line training modules Liaise with Global Compliance counterparts in order to communicate APAC issues as well as stay abreast of global initiatives Liaise with APAC Country Compliance in order to stay abreast Read more […]
Investments Compliance Analyst
Our Client a top investment bank based in Manchester City Centre are looking to recruit a compliance analyst to join their team on a permanent basis. The role of Compliance Analyst will primarily focus on supporting Investments Services in UK and Internationally to remain compliant with regulatory and corporate compliance policies. – To provide technical advice to business / partner colleagues on regulatory compliance issues.- To drive and represent the company compliance team within the business- Participation of delivering of compliance related training – To ensure periodic monitoring Read more […]
Assistant Risk Manager- TCF/ Compliance
A leading retail bank is currently urgently seeking an Assistant Risk Manager to join a busy team in London. You will be responsible for ensuring their customer complaints process meets regulatory rules and guidelines, identifying any risk factors and escalating where appropriate. You will identify missing information in complaints responses and quality issues in processes or procedures, maintain a QA framework, recognise trends when assessing compliant and provide feedback and training to colleagues. The successful candidate should ideally have complaints resolution experience, TCF knowledge, Read more […]
Assistant Compliance Officer
Assistant Compliance Officer – Graduate – Investment Management The Role: * Review and assess the quality of advice given * Provide file review reports and communicate findings * Compliance contact for advisers in the business * Portfolio Monitoring * Speak concisely, effectively and coherently to all internal clients and external contact * Policy review and amendment. * Assist with development off the treating customers fairly programme. * Staff training and presentation * Build effective working relationships at all levels of the organisation and gain credibility for self and the Compliance Read more […]
Compliance Advisor, Private Banking
The role will provide advice and guidance to the private bank, working with a variety of relationship managers, business heads and regulators. Our client particularly needs people that have experience on financial promotions and working with a client base in one more of the following regions: Asia, Africa, Middle East. You will support other compliance team members when needed within monitoring and reviewing country guidelines, advising on enhanced due diligences and generally contributing to ensuring the bank’s meeting FCA and wider regulatory standards; interpreting and reviewing policies and Read more […]
Business Analyst- TOM- Compliance OR Reg OR PPI
Leader in Banking requires seasoned Business Analysts with Financial Services backgrounds and experience with TOM, Regulatory, Compliance or PPI projects.There are multiple roles within this organisation and they will be quick to turnaround so the potential to start ASAP is there.Key Requirements will be to translate business operations and objectives into requirement/design documentation to support the aims of the Programmes/ProjectYou will support the analysis and challenge of requirements and requirements gathering, Define functional and non-functional requirements, Produce functional and Read more […]