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Legal & Compliance – Compliance Officer – VP – Private Bank
JPMorgan Chase Co. is a leading global financial services firm with assets of more than $2 trillion, over 200,000 employees and operations in over 60 countries. It operates across four business segments including Asset Wealth Management, Commercial Banking, Consumer and Community Banking, Corporate and Investment Banking. The Wealth Management division of JPMorgan Chase Co. is part of the Asset Wealth Management business segment. It has offered for over 160 years customised solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families Read more […]
Head Compliance
98743BRThe Head Compliance will be responsible for providing comprehensive advisory and control services to UBS’ Business in the French speaking region of Switzerland. The Head Compliance is responsible for leading a team of currently seven compliance professionals. Leadership of the team includes promoting the team across the Business Groups in the region, developing and coaching where appropriate and motivating team members to deliver outstanding levels of service that reflect best practice in the industry. Moreover, leadership includes the maintenance of an appropriate/best in class compliance Read more […]
Project Manager (Generic Accounts Compliance Program) – Project Manager – Sydney
About the RoleThe EPD (Enterprise Program Delivery) team is seeking an accomplished Senior Project Manager to manage the end-to-end delivery of infrastructure projects. The successful candidate will have proven involvement in whole project lifecycle e.g. project definition, business case, manage project deliverables, business and technical requirements, detailed tasks, project implementation, testing, hand over to production, post implementation reviews, managing baselined project plans/schedules etc. The emphasis on this is infrastructure technology delivery, as opposed to business application Read more […]
Private Banking Compliance Advisor
Candidates should have the following skills and experience: *In depth understanding of UK regulations. *In depth understanding of the day to day operations of a bank *In depth understanding of private banking products, their structures, the risks associated with them and how they are impacted by legislation. *Ability to interpret these regulations, produce and communicate procedures and policies. *Excellent planning and organisational skills. *Ability to work on own initiative and with a high degree of independence. *Relationship building skills – both internal and external. *Excellent written Read more […]
Director, Compliance
Position Description Fidelity’s Institutional Compliance group (FI) provides compliance services to Fidelity’s institutional businesses, including Fidelity Institutional Wealth Services (IWS), National Financial (NF), Operations and Services group (OSG), Fidelity Family Office Services (FFOS) and Fidelity Capital Markets (FCM). The Director of Regulatory Response will be the primary interface between Fidelity Institutional and the SEC, FINRA and other regulators. The Director will utilize — (i) expert technical advice in crafting responses to regulatory inquiries, (ii) excellent Read more […]
Senior Regulatory Policy Compliance Manager
Our client, a global financial institution is looking for a senior regulatory policy manager to help implement and oversee group policies, guidelines and procedures across their global compliance divisions. The individual would help to mitigate regulatory risks to protect and enhance the reputation of the firm. Duties include: Provide input to the global compliance functions in relation to any new policies and standards. Assist in developing an infrastructure for the compliance policies and related documents to other functions and global businesses. Review existing policies to assess their Read more […]
Head of Sanctions Compliance
Our client, a global financial institution is looking for a Head of Sanctions Compliance to join their Group AML department to provide advice and guidance to the business to mitigate regulatory risks and facilitate the compliance culture. Duties Include: Provide advice and support to AML advisory teams in the relevant businesses divisions on UN/EU/UK/US sanctions regimes. Maintain responsibility for oversight and distribution of sanctions related policies and guidance. Responsible for maintaining the Group Sanctions Policy the risk management framework to meet legislative and regulatory requirements. Read more […]
Head of UK Compliance, AML and Financial Crime
Wealth management has become a complex business. The choice of investments is endless and includes an increasingly diverse range of opportunities. Some are traditional while other recent innovations are as highly specialist as they are potentially rewarding. We provide an extensive range of wealth management services including banking, investment, trust and financial planning services to help clients make the right choice. Purpose of Role: To act as the firm’s senior manager responsible for Compliance Oversight. To ensure the maintenance and consistency of compliance standards, policy and Read more […]
Compliance Manager- Mortgage Business
Position Description:Allegis Group Services are the onsite recruitment partner at RBS and manage all contract and temporary opportunities for RBS MIB (Markets and International Banking).We want to connect with you and provide visibility to all the latest opportunities and events at RBS. Detailed below is just one the many contact opportunities for which we are currently seeking candidates for. Join our Talent Community in 3 clicks and let us follow your career so we can contact you when we have opportunities to share.http://connect.find.ly/ags-rbsWe have an outstanding contract opportunity for Read more […]
Compliance Manager
Fantastic 6 month Fixed Term Contract Role- Extension to longer term role possible Retail Banking IFA network compliance experience preferred Key Duties Provide advice, guidance and support on regulatory issues as required.Establish a good working relationship with the local Risk team. Preparation of reports and MI for the Head of Banking Compliance. Ensure that the firm has appropriate compliance policies and procedures. Ensure that the process for classifying, investigating and reporting complaints complies with regulatory requirements Review financial promotions as required.Work with the training Read more […]